Mark Allen Barrand of Denver, Colorado, a stockbroker formerly registered with Cetera Advisors LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.00 in damages founded on accusations of Barrand’s unsuitable investment advice as it pertained to real estate securities when Barrand was registered with…

Daniel George McPherson (also known as Dan McPherson), of Idaho Falls, Idaho, a stockbroker formerly registered with Cetera Advisors LLC, is the subject of a customer initiated investment related FINRA Securities Arbitration claim which was resolved for $57,500.00 in damages supported by accusations of McPherson making unsuitable recommendations to the customer regarding private placements, real…

Hillary Joy Wertlieb, of Lynbrook, New York, a stockbroker formerly registered with Cetera Advisors LLC, is identified in a customer initiated investment related FINRA securities arbitration claim which was settled for $12,500.00 in damages based upon accusations of negligence by Wertlieb concerning the customer’s purchase of direct investments including direct participation program interests and limited…

Charles Edward Krsek (also known as Chuck Krsek) of The Villages Florida a stockbroker formerly registered with Cetera Advisors LLC is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled to resolve allegations that Krsek provided unsuitable recommendations to the customer as it pertained to the purchase of a…

George Craig Merhoff Jr of Klamath Falls Oregon a stockbroker formerly registered with Cetera Advisors LLC is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested between $500,000.00 and $1,000,000.00 in damages based upon accusations that the customer’s account had been overconcentrated by Merhoff in unsuitable investments including…

Eric Peter Burton of Orland Park Illinois a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of Burton falsifying customers’ documents relating to variable annuity transactions that he effected. Letter of…

Mark Allen Barrand of Denver Colorado a stockbroker formerly registered with Ameriprise Financial Services is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $25,000.00 in damages based upon accusations that the customer had been advised by Barrand to invest in Business Development Corporation of America when Barrand was…

Lang Phu Nguyen of Campton Hills Illinois a stockbroker formerly registered with Edward Jones has been fined $5,000.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Nguyen executed unauthorized trades in customer accounts when he was associated with Edward Jones. Letter…

James Gregory McKinney (also known as Greg McKinney) of Tulsa Oklahoma a stockbroker formerly registered with Cetera Advisors LLC is the subject of a customer initiated investment related complaint on November 3, 2020 where the customer sought unspecified damages supported by allegations that they were provided with unsuitable investment recommendations from McKinney during the time…

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…

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…

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…

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…

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…

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…

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,…

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…

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…

  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…

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…

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…

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…

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…