Cetera Advisors complaint Archives

ER
April 26, 2023
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Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT

Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT 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 April 26, 2023 April 26, 2023

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors, discloses a final regulatory matter resulting in a…

ER
March 31, 2023
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Leo Li-Yuan Chien- Cetera Broker- Discloses Pending Customer Disputes- San Gabriel, CA

Leo Li-Yuan Chien- Cetera Broker- Discloses Pending Customer Disputes- San Gabriel, CA 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 March 31, 2023 March 31, 2023

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.…

ER
July 5, 2022
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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 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 July 5, 2022 July 5, 2022

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…

ER
November 22, 2021
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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 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 November 22, 2021 November 22, 2021

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…

Rex Securities Law
January 2, 2019
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Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX 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 2, 2019 January 2, 2019

January 2019-El Paso, Texas According to publicly available records Travis Jerome Hughes , a stockbroker who is currently registered with Cetera Advisors disclose a currently pending customer dispute, 11 prior customer disputes and…

Rex Securities Law
April 23, 2018
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Mohamed Debbagh-Former Cetera Advisors Broker-Discloses Pending Customer Suit-Boca Raton, FL

Mohamed Debbagh-Former Cetera Advisors Broker-Discloses Pending Customer Suit-Boca Raton, FL 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 April 23, 2018 April 23, 2018

April 2018 -Boca Raton, FL According to FINRA records, Mohamed Debbagh, a stockbroker who was recently employed by Cetera Advisors , disclose a pending dispute by a former customer. The Financial…

Rex Securities Law
May 11, 2017
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Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA

Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA 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 May 11, 2017 May 11, 2017

May 2017-Great Falls, VA The FINRA records of Frederick P. Baerenz, a stockbroker who is currently registered with Kalos Capital disclose that a FINRA arbitration panel awarded damages to a customer Baerenz recently. The Financial Industry…

Rex Securities Law
May 7, 2017
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Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL

Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL 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 May 7, 2017 June 19, 2017

June 2017-Delray Beach, FL The FINRA records of Christopher R. Hickman , a former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…

Rex Securities Law
May 1, 2017
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Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA

Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA 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 May 1, 2017 May 31, 2017

May 2017-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) , a stockbroker who is not currently registered with any brokerage firm discloses three currently pending customer disputes. The Financial Industry Regulatory Authority…