• ER

Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA
Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA 150 150 ER

Mark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with  LPL Financial discloses four prior customer disputes and one pending customer dispute.…

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  • ER

Victor A. Rigoni- Former Summit Brokerage Services/ Cetera Broker-Discloses FINRA Suspension, Customer Disputes, Tax Liens and Termination From Employment-Lake Forest, IL
Victor A. Rigoni- Former Summit Brokerage Services/ Cetera Broker-Discloses FINRA Suspension, Customer Disputes, Tax Liens and Termination From Employment-Lake Forest, IL 150 150 ER

Victor A. Rigoni III Investigation June 2023-Lake Forest, IL The FINRA records of  Victor A. Rigoni III ,  a broker previously with Summit Brokerage Services,  disclose a FINRA suspension, 5 prior customer…

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Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX
Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX 150 150 ER

Kenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…

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Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT
Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT 150 150 ER

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter resulting in a…

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  • ER

Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX
Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX 150 150 ER

Jeff Graves Investigation March 2023- Addison, TX According to publicly available records Jeffrey Scott Graves, a broker currently employed by  Cetera Advisors Networks Inc.,  discloses a regulatory event. The Financial Industry Regulatory…

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Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK
Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK 150 150 ER

Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter, a pending customer dispute, 7…

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Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA
Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA 150 150 ER

Clara Tang Investigation   April 2022-Cupertino, CA The FINRA records of  Clara Tang ,  a former stock broker with Cetera Investment Services,  disclose a prior customer dispute and 2 pending customer…

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  • ER

David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA
David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA 150 150 ER

David M. Becker Investigation November  2021-Waterloo, IA According to publicly available records, David Michael Becker, a former Cetera Advisors broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Ronald Metcalf, Jr. formerly with Voya Financial Advisors
Rex Securities Law Investment Fraud Attorney Investigates Ronald Metcalf, Jr. formerly with Voya Financial Advisors 150 150 Robert Rex, Esq.

Last Updated: September 2023 (Greenville, South Carolina) Ronnie Metcalf Investigation Summary Here’s what you need to know about Greenville, SC , stockbroker Ronnie Metcalf: Name: Mr. Ronald Franklin Metcalf, Jr.…

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  • Robert Rex, Esq.

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL
Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL 150 150 Robert Rex, Esq.

July 2021- Boca Raton, FL  We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses  a prior regulatory matter,  2 pending customer disputes and…

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