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…
read moreMarianne 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…
read moreGreg 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…
read moreNovember 2019-Scottsdale, Arizona Conrad Coggeshall has been charged by the Securities and Exchange Commission with fraud. The SEC complaint alleges that Coggeshall raised $700,000 from four elderly investors from April…
read moreSeptember 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…
read moreSeptember 2019-Highland Ranch, CO The FINRA records of Scott P. Kozak , a unregistered broker who was last employed by Cetera Advisors disclose a recent regulatory event, 4 prior customer disputes and…
read moreApril 2018 -Boca Raton, FL According to FINRA records, Mohamed Debbagh, a stockbroker who was recently employed by Cetera Advisors , disclose a pending dispute by a former customer. The Financial…
read moreMarch 2018- Lee’s Summit, MO The FINRA records of Martin Earl Brooks , a stockbroker who is currently employed by United Planners Financial Services of America , disclose a prior final customer dispute, a recent…
read moreMay 2019- Delray Beach, FL According to publicly available records Christopher Robert Hickman. (CRD#3267599) , a stockbroker who is not currently registered, and who last was employed by Cetera Advisors , disclose a regulatory event and seven…
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