Leo 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 moreJanuary 2020- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by Cetera Advisors, disclose a pending customer dispute and 3 prior customer disputes . The Financial Industry Regulatory…
read moreApril 2017-Irvine, CA According to publicly available records Daniel Vasquez, Sr. , (CRD#3141463) , a stockbroker who is currently not registered, but previously worked for Cetera Advisors and Investors Capital Corp , discloses two final regulatory…
read moreNovember 2016-Albuquerque, NM The FINRA records of Kevin Hudak, a former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms…
read moreBrent Van Lott Investigation October 2022- Orem, Utah According to FINRA records, Brent Van Lott , a stock broker who is not currently and who was last employed by MHL Investments , discloses a regulatory event,…
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