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Search Results: cetera
Results 20-30 of about 51
Date: November 10, 2021
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.
Date: September 24, 2021
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.
Date: September 21, 2021
South Carolina Financial Advisor Named in Five Pending Customer Disputes Cetera Advisors Network registered representative, Ronald Franklin Metcalf, Jr , is named in five pending customer disputes in which the claimants are seeking more than $6.5M in financial recovery.
Date: August 22, 2021
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 ...
Date: June 9, 2021
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.
Date: June 3, 2021
The most recent one, brought in February 2021, was from his time as a Cetera Advisors registered representative.
Date: May 17, 2021
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 ...
Date: January 30, 2020
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. ... Cetera Advisors fired ...
Date: January 13, 2020
Carver, who most recently was a LifeMark Securities broker and before that a Cetera Advisors financial representative — Cetera and LifeMark both fired him — was just barred by the Financial Industry Regulatory Authority (FINRA).
Date: November 19, 2019
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. ... Zhang allegedly falsified customer signature pages on ...
