September 2019- Sewickley, PA According to publicly available records Scott Eugene Shoup (CRD#1874559) , a stockbroker who is currently registered Cetera Advisor Networks, disclose 1 pending and 4 final customer disputes.…
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…
read moreJanuary 2019-El Paso, Texas According to publicly available records Travis Jerome Hughes , a stockbroker who is currently registered with Cetera Advisors disclose a currently pending customer dispute, 11 prior customer disputes and…
read moreMay 2018- Centerville, OH According to FINRA records, David Joseph Schmerber, a stockbroker who was formerly employed by LPL Financial Services, disclose the recent settlement of a customer dispute. The Financial Industry…
read moreMay 2018-Salt Lake City, Utah The Utah Division of Securities filed actions against Cetera Advisor Network, Paul W. Neuenswander and Financial Network FID West LLC, d/b/a Peak Financial Network Solutions…
read moreMarch 2018- Lee’s Summit, MO The FINRA records of Martin Earl Brooks , a stockbroker who is currently employed by United Planners Financial Services of America , disclose a prior final customer dispute, a recent…
read moreOCTOBER 2017 If you suffered losses as a result of following your broker’s recommendation to invest in Miller Energy Resources, contact us to find out how you may be able…
read moreApril 2018-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) , a stockbroker who last was employed by Cetera Advisors, and who is not currently registered with any brokerage firm, discloses…
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