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Cetera Financial Group

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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 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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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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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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Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA
Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA 150 150 Rex Securities Law

July 2021-San Jose, CA According to publicly available records.  Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc.,  discloses 1 pending and 4 prior customer disputes. The Financial…

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Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA
Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA 150 150 Rex Securities Law

November  2020- Pittsburg, PA According to publicly available records  Keith Thomas Lohm, Sr. (CRD#1516728), a  former stockbroker who last worked for Citizens Securities, Inc.,  discloses a termination from employment. The…

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Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX
Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX 150 150 Rex Securities Law

April 2020-Houston, TX According to publicly available records of Rodrick Dow (CRD#2855724) ,  a  former stockbroker who last worked for Securities America, Inc.,  was recently suspended indefinitely. The Financial Industry Regulatory…

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