Cetera Advisor Networks Archives - Rex Securities Law-BLOG

ER
June 16, 2023
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Victor A. Rigoni- Former Summit Brokerage Services/ Cetera Broker-Discloses FINRA Suspension, Customer Disputes, Tax Liens and Termination From Employment-Lake Forest, IL

Victor A. Rigoni- Former Summit Brokerage Services/ Cetera Broker-Discloses FINRA Suspension, Customer Disputes, Tax Liens and Termination From Employment-Lake Forest, IL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 16, 2023 June 16, 2023

Victor A. Rigoni III Investigation June 2023-Lake Forest, IL The FINRA records of Victor A. Rigoni III , a broker previously with Summit Brokerage Services, disclose a FINRA suspension, 5 prior customer…

ER
May 9, 2022
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Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL

Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 9, 2022 May 9, 2022

Chad Barancyk Investigation May 2022-Chicago, IL/Naples, FL The FINRA records of Chad Barancyk, a former First Allied Securities broker, discloses a regulatory event and 8 pending customer disputes which seek…

Rex Securities Law
January 28, 2020
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Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN

Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 28, 2020 January 28, 2020

January 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…