Tag Archives: Cetera Advisors LLC

Cetera Stockbroker Barred By FINRA In Selling Away Investigation

James Gregory McKinney (also known as Greg McKinney) of Tulsa Oklahoma a stockbroker formerly registered with Cetera Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision containing findings that the stockbroker neglected to testify or produce documentation for FINRA personnel while […]

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FINRA Bars Cetera Stockbroker In Investigation

Omar K. Henry of New York New York a stockbroker formerly registered with Cetera Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he failed to comply with FINRA during a time that he was probed or examined for possible violations of […]

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Investors Capital Corp Sued For Fraudulent REIT Sales

Carl John Grilli of Monrovia California a stockbroker formerly registered with Investors Capital Corp. is referenced in a customer initiated investment related civil action brought in the Superior Court of California in which the customer sought $89,000.00 in damages based upon allegations that (1) the customer’s account was administered negligently (2) information about investments had […]

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Investors Sue Cetera Advisors For Breach Of Fiduciary Duty

Christopher Robert Hickman of Delray Beach Florida a stockbroker formerly registered with Cetera Advisors LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $1,000,000.00 in damages founded on allegations that (1) fiduciary duties were breached (2) misrepresentations had been negligently made by the stockbroker in regard to […]

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Cetera Stockbroker Sanctioned For Outside Activities

Christopher Kozak of Highland Ranch Colorado a stockbroker formerly registered with Cetera Advisors LLC has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he took part in outside business activities without providing required notice to Cetera […]

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Cetera Stockbroker Charged By FINRA In Investigation

November 15, 2019  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

James Gregory McKinney (also known as Greg McKinney) a stockbroker formerly employed by Cetera Advisors LLC has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he failed to cooperate with a FINRA investigation into accusations of him engaging in trading or other activities in violation of FINRA rules. Department of […]

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Investors Accuse Cetera Of Energy Sector Overconcentration

Abraham Heimann of Alpharetta Georgia a stockbroker formerly registered with Cetera Advisors LLC is referenced in a customer initiated investment related arbitration claim that was resolved for $42,500.00 in damages founded on accusations that fiduciary obligations to the customer were breached and the customer’s account had been negligently administered. FINRA Arbitration No. 17-02785 (Dec. 26, […]

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Cetera Advisors Sued By Investors For Fraud

James Christopher Hayne of Mansfield Texas a stockbroker formerly registered with Cetera Advisors LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $325,000.00 in damages founded on allegations that Texas Securities Act and California Corporate Securities Law had been violated; contractual obligations to the customer were breached; the customer’s […]

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Cetera Stockbroker Barred In Investigation

George Craig Merhoff Jr. of Klamath Falls Oregon a stockbroker formerly employed by Cetera Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Merhoff failed to cooperate with a FINRA investigation into accusations of (1) Merhoff disseminating consolidated reports to customers and […]

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Cetera Stockbroker Barred By FINRA In Investigation

Nina Sue Jessee (also known as Nina Campbell Jessee) of Abington Virginia a stockbroker formerly employed by Cetera Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Jessee neglected to comply with FINRA during its investigation into accusations of (1) […]

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Cetera Blamed By Investors For Annuity Misconduct

March 28, 2019  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Kirby Spencer McDonald of Omaha Nebraska a stockbroker currently registered with Cetera Advisors LLC is the subject of a customer initiated investment related written complaint on November 7, 2018 where the customer requested $72,000.00 in damages based upon accusations that the customer was poorly advised concerning a variable annuity transaction which led the customer to […]

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Cetera Broker Barred By FINRA In Investigation

November 12, 2018  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News   |   0 Comments

Bruce Michael Sabourin of Norwich Connecticut a stockbroker formerly employed by Cetera Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Sabourin failed to provide FINRA with information after it was requested of him. Case No. 2014041373601 (May 4, 2015). FINRA Public […]

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FINRA Fines Cetera Stockbroker For Unauthorized Trading

March 22, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Martin Earl Brooks of Belton Missouri is a stockbroker formerly registered with Cetera Advisors LLC who has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he effected trades in customer accounts without their written authorization and mismarked order tickets as […]

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Customer Accuses Cetera Of Breach Of Fiduciary Duty

Arlo Jean Stoll of Salem Oregon is a stockbroker currently registered with Cetera Advisors LLC who is the subject of a customer initiated investment related written complaint on December 28, 2016 in which the customer requested $76,778.00 in damages founded on allegations of breach of fiduciary duty, negligence, and suitability relating to the customer’s direct […]

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