Tag Archives: Kenneth Alan Balser

Investors Sue Cetera Advisors For Negligence

April 18, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Investment and Regulatory News, Securities Arbitration Claims, Selling Away and Outside Activities, Stockbroker Negligence   |   Comments Off on Investors Sue Cetera Advisors For Negligence

Kenneth Alan Balser of Colorado Springs Colorado a stockbroker formerly employed by Cetera Advisors LLC has been identified in a customer initiated investment related arbitration claim where the customer sought $103,664.82 in damages founded on accusations that (1) the stockbroker’s negligence resulted in the customer’s losses (2) a fiduciary duty was breached by Balser (3) […]

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Cetera Advisors Stockbroker Barred In Investigation

Kenneth Alan Balser, of Colorado Springs, Colorado, a stockbroker formerly registered with Cetera Advisors, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into allegations of Balser’s participation in private securities transactions or […]

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