Stephen C. Carver (CRD#: 2230161) was previously registered as a broker and investment advisor. From November of 2017 to December of 2018, Mr. Carver was[…]
Independent broker-dealer and investment advisor company Cetera Advisors LLC provides services to financial professionals in the United States. Wealth management services offered include advisory, research, planning assistance, insurance, trust, and wealth management training. There are strict regulations in place to protect consumers from losses that could have been easily avoided Similar to other advising and investment firms, Cetera Advisors have, on occasions, caused losses to investors through broker misconduct or fraud. The articles below contain information about specific lawsuits involving Cetera and their brokers.
Nina Jessee (CRD#: 1484808), previously employed at Cetera Advisors, LLC (Cetera) is no longer a registered broker or investment advisor. In November of 2017, she[…]
Recently, the Utah Securities Division announced substantial fines against three brokerage firms: LPL Financial (CRD#: 6413), Cetera Advisor Networks (CRD#: 13572), and CUSO Financial Services[…]
The Sonn Law Group has substantial experience representing investors who have suffered losses because of stockbroker fraud. Call us today for a free case review:[…]
The Sonn Law Group is investigating claims related to Brant Ray (FINRA CRD Number: 4746637). Brant Ray was named a respondent in a FINRA complaint[…]
If you invested money with Kenneth Alan Balser (FINRA CRD#: 704053), a former financial advisor in Colorado Springs, Colorado, it is important to know that[…]
Sonn Law Group is investigating claims related to Cetera Advisors LLC financial advisor George C. Merhoff, Jr. in connection with the sale of investments in[…]