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Search Results: cetera
Results 20-30 of about 47
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 ...
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 ...
