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Search Results: cetera
Results 30-40 of about 51
Date: November 3, 2019
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 ...
Date: September 13, 2019
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.
Date: September 7, 2019
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 SEC said that aside from the fees, which was compensation paid to ...
Date: June 24, 2019
After failing to cooperate in a probe into allegations of securities violations, George Merhoff, a former ex-Cetera Financial Group adviser, has been barred by the Financial Industry Regulatory Authority (FINRA) . ... With over 21 years working in the brokerage ...
Date: June 21, 2019
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.
Date: August 26, 2018
$1M in Junk Bond Sales Helps Fund Cetera Acquisition by Genstar Capital According to InvestmentNews , private equity firm Genstar Capital will sell $1B of junk bonds to help pay for its acquisition of Cetera Financial Group, which will be ...
Date: December 19, 2017
He later went to work with Cetera and then EK Riley Investments.
Date: August 23, 2017
In a settlement with the Financial Industry Regulatory Authority, a number of Cetera Financial Group brokerage firms have agreed to collectively pay $3.3M for not properly supervising whether mutual fund sales charge waivers were applied correctly clients at charitable organizations ...
Date: May 8, 2017
Securities Cases: Verto Capital Settles Life Settlement Charges, Couple File Broker Fraud Claim Against NY Life Securities, JCPenny to Settle Texas Class Action Lawsuit for $97.M, & Cetera Admits to Charging Investors More For Mutual Funds
Date: March 10, 2017
It emerged as Aretec, the holding company that controls Cetera Financial Group.
