Tag Archives: Susan Lavon Welo

Investors Sue Cetera For Unsuitable Private Placement Sales

August 27, 2020  |   Posted by :   |   Business Development Companies, Non-traded REITs, Private Placement Fraud, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Investors Sue Cetera For Unsuitable Private Placement Sales

Susan Lavon Welo of Mayville North Dakota a stockbroker formerly employed by Cetera Advisor Networks LLC has been identified in a customer initiated investment related arbitration claim where the customer sought $100,000.00 in damages founded on accusations of unsuitable private placements being sold to the customer while Welo was employed by Securities America Inc. and […]

Read More »

Regulator Sanctions Cetera Broker For Misrepresentation

November 21, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Susan Lavon Welo of Mayville, North Dakota, a stockbroker formerly registered with Cetera Advisor Networks LLC, is subject of a Cease and Desist Order issued by the North Dakota Securities Department based upon findings that Welo sold insurance and securities to the public while not registered with a broker-dealer; advised the public while not registered […]

Read More »

Cetera Advisor Networks Sued By Customer

Susan Lavon Welo, of Mayville, North Dakota, a stockbroker formerly registered with Cetera Advisor Networks LLC, has been named in a customer initiated investment related written complaint on February 24, 2017, in which the customer requested $45,000.00 in damages based upon allegations that Welo failed to abide by the customer’s instructions to invest in short […]

Read More »