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 moreCathy 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…
read moreClara 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…
read moreDavid 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…
read moreRonald 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 &…
read moreJuly 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…
read moreJuly 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…
read moreNovember 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…
read moreApril 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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