January 2020- Memphis, TN The FINRA records of Richard L. Pittman, a stockbroker employed by Cetera Advisor , disclose a pending customer dispute and 3 prior customer disputes. The Financial Industry Regulatory Authority (FINRA)…
read moreNovember 2019-Scottsdale, Arizona Conrad Coggeshall has been charged by the Securities and Exchange Commission with fraud. The SEC complaint alleges that Coggeshall raised $700,000 from four elderly investors from April…
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 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 moreSeptember 2019-Highland Ranch, CO The FINRA records of Scott P. Kozak , a unregistered broker who was last employed by Cetera Advisors disclose a recent regulatory event, 4 prior customer disputes and…
read moreApril 2019-Idaho Falls, ID The FINRA records of two former Allegis Investment Advisors stockbrokers , Peter Gerhard Klaass and Heath Shayne Bowen disclose that the Colorado Division of Securities alleged…
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…
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