Search Results for: cetera

Retiree Suffers Significant Losses in PB Investment Holdings on Recommendation of Cetera Financial Advisor  A Chinese national has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim over losses she suffered after a Cetera Investment Services advisor unsuitably recommended and sold a PB Investment Holdings annuity to her.  The Bermuda-based off-shore investment (affiliated with Northstar […]

Ex-Fort Meyers, Florida Financial Advisor Misappropriated $1.02M From Investors  A former Cetera Advisors Network registered representative, David Aaron Rockwell, has been sentenced to 63 months in federal prison for multiple counts of bank fraud and wire fraud. According to the US Justice Department, Rockwell defrauded investors of over $1.02M and used their money to pay […]

Denver Financial Advisor Mark Barrand Named in Pending Customer Disputes  Mark Allen Barrand, an Ameriprise Financial broker based in Denver, has nine customer claims on his BrokerCheck record. The most recent one, brought in February 2021, was from his time as a Cetera Advisors registered representative.  Barrand has worked 14 years in the industry, and […]

Former California Registered Representative is Named in Pending $2.3M Northstar Bermuda Claim Ching-Yun Linda Fang, also known as Linda Fang, is an ex-Cetera Investment Services stockbroker and investment advisor who may have unsuitably recommended to customers that they invest in Northstar Financial Services (Bermuda) investment products. The Bermuda-based company, which is no longer solvent, filed […]

Fired Cetera Advisors Broker Accused Of Unauthorized Securities Sales Our stockbroker fraud attorneys are speaking to former clients of former Cetera Advisors LLC broker, Roger Lee Owens that sustained substantial investment losses while working with him. Contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) today to schedule your free, no-obligation case consultation.  Cetera Advisors […]

Former LifeMark Securities Broker Gets Banned By FINRA  If you are an investor who suffered losses while Stephen Carver handled your investments and wish to file an investor claim, our broker misconduct attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm) want to talk to you.  Carver, who most recently was a LifeMark Securities […]

Shepherd, Smith, Edwards & Kantas (“SSEK”), a national law firm specializing in representing wronged investors, is looking into allegations against Mengxuan Zhang, previously employed by Cetera Investment Services out of Pasadena, CA.   According to allegations, Ms. Zhang allegedly falsified customer signature pages on new account forms for some customers of Cetera. This included reusing signature […]

Cetera Advisors Fraud Case Rises To $21M Two months after suing Cetera Advisors for more than $10M for allegedly defrauding retail clients, the US Securities and Exchange Commission (SEC) has amended its complaint, adding another Cetera Financial Group firm as a defendant. The regulator is now seeking $21M. According to the amended complaint, Cetera Advisors […]

If former Cetera Advisers broker James Christopher Hayne has handled your investments  and you suffered investment losses that you suspect were due to fraud or negligence, you should speak with an experienced stockbroker fraud law firm right away. Over the years, Hayne, a Texas broker, has been named in numerous customer arbitration claims brought  before […]

The US Securities and Exchange Commission (SEC) has filed civil charges accusing Cetera Advisors of defrauding its retail clients through $10M in unnecessary commissions and fees. The regulator is accusing the registered investment adviser (RIA) of selling these customers costlier share classes even though they qualified to invest in less expensive share classes of the […]

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