Cetera Advisors Archives

ER
April 26, 2023
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Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT

Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 26, 2023 April 26, 2023

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors, discloses a final regulatory matter resulting in a…

ER
July 5, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

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…

ER
May 9, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 9, 2022 May 9, 2022

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…

ER
May 4, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 4, 2022 May 4, 2022

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…

ER
April 5, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 5, 2022 April 5, 2022

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…

ER
November 22, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 22, 2021 November 22, 2021

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…

Rex Securities Law
November 15, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 15, 2021 November 15, 2021

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…

Rex Securities Law
November 8, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 8, 2021 November 8, 2021

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…

Rex Securities Law
September 29, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 29, 2021 September 29, 2021

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 &…