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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Tag Archives: Kenneth Alan Balser
Investors Sue Cetera Advisors For Negligence
April 18, 2020 | Posted by : Guiliano Law Group | 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
Cetera Advisors Stockbroker Barred In Investigation
January 03, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
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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