Cetera Advisors complaint Archives - Page 2 of 2

Rex Securities Law
May 1, 2017
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Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA

Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 1, 2017 May 31, 2017

May 2017-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) , a stockbroker who is not currently registered with any brokerage firm discloses three currently pending customer disputes. The Financial Industry Regulatory Authority…

Rex Securities Law
April 30, 2017
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Gerard Figari of Loyd Capital Performance Partners -Discloses Settlement of Customer Disputes-Stuart, FL

Gerard Figari of Loyd Capital Performance Partners -Discloses Settlement of Customer Disputes-Stuart, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 30, 2017 April 30, 2017

April 2017- Stuart, FL According to publicly available records Gerard G. Figari, (CRD#1343962) , a stockbroker who was previously registered with Investors Capital Corp. discloses 5 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

Rex Securities Law
March 8, 2017
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James C. Hayne-Former Cetera Advisors Broker-Discloses Customer Disputes-Mansfield, Texas

James C. Hayne-Former Cetera Advisors Broker-Discloses Customer Disputes-Mansfield, Texas http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 8, 2017 March 8, 2017

February 2017-Mansfield, Texas According to publicly available records James C. Hayne , (CRD# 3257845) , a stockbroker who is not currently registered and who was last employed by Cetera Advisors, discloses…

Rex Securities Law
November 24, 2016
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Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry

Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 24, 2016 November 24, 2016

November 2016-Albuquerque, NM The FINRA records of Kevin Hudak, a former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms…