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Cetera Advisors

Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK

Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK 150 150 ER

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…

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Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL

Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL 150 150 ER

Chad Barancyk Investigation May 2022-Chicago, IL/Naples, FL  The FINRA records of Chad Barancyk, a former First Allied Securities  broker,  discloses a regulatory event and 8 pending customer disputes which seek…

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Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Suits Over Real Estate Securities-Arcadia, CA

Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Suits Over Real Estate Securities-Arcadia, CA 150 150 ER

Cathy Wu Investigation May 2022-Arcadia, CA The FINRA records of  Ping Shuang Cathy Wu ,  a broker with Cetera Investment Services,  disclose 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA

Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA 150 150 ER

Clara Tang Investigation   April 2022-Cupertino, CA The FINRA records of  Clara Tang ,  a former stock broker with Cetera Investment Services,  disclose a prior customer dispute and 2 pending customer…

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David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA

David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA 150 150 ER

David M. Becker Investigation November  2021-Waterloo, IA According to publicly available records, David Michael Becker, a former Cetera Advisors broker discloses a pending customer dispute.  The Financial Industry Regulatory Authority (FINRA) is…

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Jeffrey Meyers -Cetera Financial Advisor-Subject of Customer Suit Over REIT-Overland Park, KS

Jeffrey Meyers -Cetera Financial Advisor-Subject of Customer Suit Over REIT-Overland Park, KS 150 150 Rex Securities Law

Jeffrey 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…

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Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York

Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York 150 150 Rex Securities Law

Xiao Qin (Sarah) Komischke Investigation November 2021- New York, NY According to publicly available records, former Raymond James  financial advisor Xiao Qin “Sarah” Komischke,   is the subject of two pending…

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Ronald Metcalf, Jr.-Former VOYA Financial Advisor-Discloses Customer Suits Over LP’s & Direct Investments-Greenville, S. Carolina

Ronald Metcalf, Jr.-Former VOYA Financial Advisor-Discloses Customer Suits Over LP’s & Direct Investments-Greenville, S. Carolina 150 150 Rex Securities Law

Ronald Metcalf, Jr. Investigation September 2021-Greenville, S. Carolina According to publicly available records Ronald F. Metcalf, Jr.  ,  a  stockbroker who was previously registered with Voya Financial Advisors, who operates Metcalf &…

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Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL 150 150 Rex Securities Law

July 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…

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