Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors, discloses a final regulatory matter, a pending customer dispute, 7…
read moreSeptember 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 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 moreApril 2018 -Boca Raton, FL According to FINRA records, Mohamed Debbagh, a stockbroker who was recently employed by Cetera Advisors , disclose a pending dispute by a former customer. The Financial…
read moreJune 2017 – Houston, TX According to publicly available records James A. Franklin (CRD#4799613) , a stockbroker who currently is employed by 1st Global Capital Corp. , discloses a pending customer dispute. The Financial…
read moreMay 2017-Great Falls, VA The FINRA records of Frederick P. Baerenz, a stockbroker who is currently registered with Kalos Capital disclose that a FINRA arbitration panel awarded damages to a customer Baerenz recently. The Financial Industry…
read moreJune 2017-Delray Beach, FL The FINRA records of Christopher R. Hickman , a former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…
read moreAbraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA
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…
read moreApril 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…
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