Tag Archives: Gordon Tong Quan

Investors Bring FINRA Arbitration Claim Against Cetera Advisors

November 30, 2020  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Securities Arbitration Claims, Selling Away and Outside Activities   |   Comments Off on Investors Bring FINRA Arbitration Claim Against Cetera Advisors

Gordon Tong Quan of Pasadena California a stockbroker formerly registered with Cetera Advisors Networks LLC has been referenced in a customer initiated investment related arbitration claim which was settled for $25,000.00 in damages based upon allegations that investment recommendations made to the Cetera Advisor Networks customer by Quan had failed to be suitable and had […]

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Cetera Broker Fired For Outside Business Activities

Gordon Tong Quan of Pasadena California a stockbroker formerly employed by Cetera Advisor Networks LLC has been discharged by the firm on May 15, 2018 founded on allegations that Quan engaged in outside business activities and unapproved customer loan arrangements; conduct violative of the firm’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that […]

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