Tagged with "Cetera"

FINRA Bars Former Cetera Advisor Who Converted Client Funds

Posted on April 13th, 2022 at 1:31 PM
FINRA Bars Former Cetera Advisor Who Converted Client Funds

The Financial Industry Regulatory Authority (FINRA) has barred a former Cetera Financial advisor for allegedly converting $40,000 from her client accounts in order to purchase mutual fund shares for her son.

 
 

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Former Cetera Advisor Receives Prison Sentence for Defrauding Clients

Posted on June 15th, 2021 at 12:01 PM
Former Cetera Advisor Receives Prison Sentence for Defrauding Clients

An ex-Cetera advisor has received a five-year federal prison sentence after being convicted on six counts of wire fraud and two counts of bank fraud.

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Cetera Fined by FINRA

Posted on December 18th, 2020 at 3:10 PM
Cetera Fined by FINRA

Cetera Advisor Networks LLC, Cetera Advisors LLC, and Cetera Financial Specialists LLC (collectively the “Cetera Firms”) agreed to pay a fine of $1 million to settle allegations made by FINRA Enforcement.

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FINRA Bars Former Cetera Broker George Merhoff

Posted on June 20th, 2019 at 10:00 AM
FINRA Bars Former Cetera Broker George Merhoff

The Financial Industry Regulatory Authority (“FINRA”) recently barred George C. Merhoff Jr. from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.

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Cetera Advisor Firms to Pay $2.5M in Restitution to Eligible Customers

Posted on August 2nd, 2017 at 1:34 PM
Cetera Advisor Firms to Pay $2.5M in Restitution to Eligible Customers

FINRA has fined both Cetera Advisor Networks and Cetera Advisors allegedly for charging retirement plan customers excessive mutual fund sales charges.

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LATEST NEWS AND ARTICLES

June 23, 2022
Former Credit Suisse Advisor Prevails in Deferred Compensation Claim

A former Credit Suisse advisor has prevailed on a $2.2 million arbitration claim after alleging that the firm improperly withheld his deferred compensation when it discontinued its U.S. brokerage business in 2015. 

 
 
June 23, 2022
Eccleston Law LLC Investigates Recovery Options for NRIA Investors

Headquartered in Secaucus, NJ, National Realty Investment Advisors (NRIA) recently declared bankruptcy amid investor redemption requests, federal and state investigations, and unsustainable debt.

 
 
June 22, 2022
SEC Charges Three Additional Advisors for Recommending Horizon Ponzi Scheme to Investors

The Securities and Exchange Commission (SEC) has filed suit against Michael Mooney, Britt Wright, and Penny Flippen pertaining to their engagement with a Ponzi scheme, which raised at least $110 million from nearly 400 investors.