Mark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with LPL Financial discloses four prior customer disputes and one pending customer dispute. …
read moreKenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…
read moreLeo Chien Investigation March, 2023 – San Gabriel, CA The FINRA records of Leo Li-Yuan Chien a broker currently employed by Cetera Investment Services , disclose 2 pending and 2 priorcustomer disputes.…
read moreJeff Graves Investigation March 2023- Addison, TX According to publicly available records Jeffrey Scott Graves, a broker currently employed by Cetera Advisors Networks Inc., discloses a regulatory event. The Financial Industry Regulatory…
read moreJeffrey 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…
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 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 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 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…
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