Search Results for: cetera

A Claimant is Requesting Up to $5M in Damages For Northstar (Bermuda) Losses  An older investor has filed a FINRA arbitration claim over losses she sustained in Northstar Financial Services (Bermuda) while working with Cetera Investment Services, LLC. The claimant is a retiree and a foreign national who had an account at a US bank. […]

Fort Lauderdale, Florida Financial Advisor is Named in Six-Figure Customer Dispute Robert Brian Wolfe, who was a Goldman Sachs broker from July 2020 to October 2021, was recently dismissed by the broker-dealer. His firing came following allegations related to client communications involving market valuations and portfolio performance, as well as his handling of customer grievances […]

Hospitality Investors Trust Was One of the REITs Marketed Cetera Advisors Network broker Jeffrey Gerard Meyers, an Overland Park, Kansas financial advisor, is named in two pending customer disputes.  The claimants are accusing him of making unsuitable investment recommendations involving non-liquid real estate investment trusts (REIT). One of the products was Hospitality Investors Trust (HIT […]

Customer’s FINRA Arbitration Hearing Seeking Up to $500K Will Take Place in Los Angeles Our broker fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) have filed a FINRA arbitration claim against Cetera Investment Services. A very elderly Chinese widow who entrusted the firm to keep her money safe suffered considerable […]

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 […]

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