Ricky Alan Mantei Investigation Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Ricky Alan Mantei, currently employed by…
read moreVictor A. Rigoni III Investigation June 2023-Lake Forest, IL The FINRA records of Victor A. Rigoni III , a broker previously with Summit Brokerage Services, disclose a FINRA suspension, 5 prior customer…
read moreJeffrey G. Meyers Investigation November 2021- Overland Park, KS According to publicly available records, Cetera Advisor Networks financial advisor Jeffrey G. Meyers, discloses a pending customer dispute and 5 prior customer…
read moreJuly 2021- Boca Raton, FL We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses a prior regulatory matter, 2 pending customer disputes and…
read moreJuly 2021-San Jose, CA According to publicly available records. Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc., discloses 1 pending and 4 prior customer disputes. The Financial…
read moreJanuary 2020 – San Jose, CA The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by Centaurus Financial, Inc., disclose 2 pending customer disputes. The Financial Industry Regulatory…
read moreJanuary 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by Cetera Advisor Networks , disclose a pending customer dispute and a prior customer dispute. The Financial Industry…
read moreSeptember 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…
read moreJuly 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL, will close it doors and roll its business up into an…
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