Tag Archives: Roger Lee Owens

Cetera Advisors Sued For Breach Of Fiduciary Duty

September 14, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Selling Away and Outside Activities   |   Comments Off on Cetera Advisors Sued For Breach Of Fiduciary Duty

Roger Lee Owens of Elkton Maryland a stockbroker formerly employed by Cetera Advisors LLC is referenced in a customer initiated investment related arbitration claim where the customer requested $100,000.00 in damages founded on accusations that a fiduciary duty which had been owed to the customer by the stockbroker was violated and that the customer had […]

Read More »

Cetera Advisors Stockbroker Sanctioned For Selling Away

Roger Lee Owens of Elkton Maryland a stockbroker employed by Cetera Advisors LLC has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of Owens engaging in private securities transactions in which he sold Cetera customers promissory notes in Woodbridge Group of Companies […]

Read More »