{"id":7233,"date":"2019-06-21T14:21:42","date_gmt":"2019-06-21T19:21:42","guid":{"rendered":"https:\/\/www.investorlawyers.com\/?p=7233"},"modified":"2019-06-21T14:21:42","modified_gmt":"2019-06-21T19:21:42","slug":"bad-brokers-barred-broker-fraud","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/bad-brokers-barred-broker-fraud\/","title":{"rendered":"Ex-Cetera, UBS, and Spencer Edwards Brokers Barred"},"content":{"rendered":"

\t\t\t\tFormer Cetera Broker Allegedly Engaged in Outside Business Activities<\/strong><\/p>\n

The Financial Industry Regulatory Authority (FINRA)<\/a> announced that it is barring Nina Jessee, a former Cetera Advisors<\/a> broker. The bar comes after Jessee failed to cooperate with the self-regulatory organization (SRO), which was investigating complaints about her related to alternative investments, including allegations that she had engaged in business activities that were not authorized outside of the brokerage firm.<\/p>\n

With more than 30 years in the industry, Jessee has also been a registered broker at five other broker-dealers, including Investors Capital Corp., Financial Securities Network, NAP Financial Corporation, Marketing One Securities, and Mutual of Omaha Fund Management Company.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Former Cetera Broker Allegedly Engaged in Outside Business Activities The Financial Industry Regulatory Authority (FINRA) announced that it is barring Nina Jessee, a former Cetera Advisors broker. The bar comes after Jessee failed to cooperate with the self-regulatory organization (SRO), which was investigating complaints about her related to alternative investments, including allegations that she had […]<\/p>\n","protected":false},"author":2,"featured_media":7092,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3773,3783,3739,4049],"tags":[3733,3734,3735,3736,3737,3000],"class_list":["post-7233","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-broker-fraud","category-broker-misconduct","category-finra","category-industry-bars","tag-cetera-advisors","tag-donna-jean-flemming","tag-nicolas-barrios","tag-nina-jessee","tag-spencer-edwards","tag-ubs"],"yoast_head":"\nEx-Cetera, UBS, and Spencer Edwards Brokers Barred — Investor Lawyers Blog — June 21, 2019<\/title>\n<meta name=\"description\" content=\"Over the 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