Cetera Financial Group

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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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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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  • Robert Rex, Esq.

Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA
Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA 150 150 Robert Rex, Esq.

July 2021-San Jose, CA According to publicly available records.  Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc.,  discloses 1 pending and 4 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA
Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA 150 150 Robert Rex, Esq.

November  2020- Pittsburg, PA According to publicly available records  Keith Thomas Lohm, Sr. (CRD#1516728), a  former stockbroker who last worked for Citizens Securities, Inc.,  discloses a termination from employment. The…

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  • Robert Rex, Esq.

Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX
Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records of Rodrick Dow (CRD#2855724) ,  a  former stockbroker who last worked for Securities America, Inc.,  was recently suspended indefinitely. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN
Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN 150 150 Robert Rex, Esq.

January 2020- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by  Cetera Advisors, disclose a pending customer dispute and 3 prior customer disputes . The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA
Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA 150 150 Robert Rex, Esq.

January 2020 – San Jose, CA The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by  Centaurus Financial, Inc., disclose  2 pending customer disputes. The Financial Industry Regulatory…

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