Tag Archives: Ken Alan Balser

Investors Bring Arbitration Claims Against Cetera Advisors For Goldmine Scam

November 04, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims, Selling Away and Outside Activities, Stockbroker Negligence   |   Comments Off on Investors Bring Arbitration Claims Against Cetera Advisors For Goldmine Scam

Ken Alan Balser of Colorado Springs Colorado a stockbroker formerly registered with Cetera Advisors LLC has been referenced in a customer initiated investment related arbitration claim which was settled for $35,695.00 in damages based upon accusations of Balser breaching a fiduciary duty do the customer and having defrauded the customer while employed by Cetera Advisors […]

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Regulators Sanctions Cetera Stockbroker For Selling Away

Ken Alan Balser of Colorado Springs Colorado a stockbroker formerly employed by Cetera Advisors LLC is referenced in a Colorado Division of Securities Stipulation and Consent Order which revoked Balser’s sales representative licensure and investment adviser license based upon the Division’s findings that Balser sold investments to customers away from Cetera Advisors LLC. Case No. […]

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