Ex-Cetera Investment Services Broker Xinxin Lu May Have Overconcentrated Couple’s Account in Obscure, Offshore Investment Our seasoned securities lawyers have filed a Financial Industry Regulatory Authority (FINRA) arbitration case against Cetera Investment Services on behalf of two Chinese investors. These investors seek up to $5M in damages for losses they…
Cetera Investment Services Broker Chang Vung Named in Six-Figure Non-Traded REIT Claim A self-employed New York investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Cetera Investment Services and its broker Chang Jen Vung. The claimant sustained losses in non-traded real estate investment trusts. The claimant is…
Several East West Bank Customers Worked With Cetera Broker Linda Fang Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) is continuing to investigate claims of losses involving East West Bank customers who invested in Northstar Financial Services (Bermuda) products. East West Bank had signed a partnership agreement with…
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…
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…
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…
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…
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…
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…
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