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Cetera Advisors

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Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX
Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX 150 150 ER

Kenneth 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…

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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 150 150 ER

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…

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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 150 150 ER

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…

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Ronald Metcalf, Jr.-Former VOYA Financial Advisor-Discloses Customer Suits Over LP’s & Direct Investments-Greenville, S. Carolina
Ronald Metcalf, Jr.-Former VOYA Financial Advisor-Discloses Customer Suits Over LP’s & Direct Investments-Greenville, S. Carolina 150 150 Rex Securities Law

Ronald 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 &…

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Richard Pittman-Cetera Advisors Broker-Discloses 3 Prior Customer Disputes & 1 Pending Customer Dispute-Memphis, TN
Richard Pittman-Cetera Advisors Broker-Discloses 3 Prior Customer Disputes & 1 Pending Customer Dispute-Memphis, TN 150 150 Rex Securities Law

January 2020- Memphis, TN  The FINRA records of Richard L. Pittman, a stockbroker employed by  Cetera Advisor , disclose a pending customer dispute and  3 prior customer disputes. The Financial Industry Regulatory Authority (FINRA)…

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Conrad Coggeshall-Former Packerland Broker-Charged With Fraud, Scottsdale, AZ
Conrad Coggeshall-Former Packerland Broker-Charged With Fraud, Scottsdale, AZ 150 150 Rex Securities Law

November 2019-Scottsdale, Arizona Conrad Coggeshall has been charged by the Securities and Exchange Commission with fraud. The SEC complaint alleges that Coggeshall raised $700,000 from four elderly investors from April…

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Cetera Advisors Charged With Defrauding Retail Clients
Cetera Advisors Charged With Defrauding Retail Clients 150 150 Rex Securities Law

September 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…

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Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO
Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO 150 150 Rex Securities Law

September 2019-Highland Ranch, CO The FINRA records of  Scott P. Kozak ,  a  unregistered broker who was last employed by  Cetera Advisors disclose  a recent regulatory event, 4 prior customer disputes  and…

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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 150 150 Rex Securities Law

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…

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