Cetera Investment Services Archives

ER
June 16, 2023

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 16, 2023 October 4, 2023

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…

ER
May 9, 2022

Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL

Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 9, 2022 September 29, 2023

Chad Barancyk Investigation May 2022-Chicago, IL/Naples, FL The FINRA records of Chad Barancyk, a former First Allied Securities broker, discloses a regulatory event and 8 pending customer disputes which seek…

ER
May 4, 2022

Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Suits Over Real Estate Securities-Arcadia, CA

Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Suits Over Real Estate Securities-Arcadia, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 4, 2022 October 3, 2023

Cathy Wu Investigation May 2022-Arcadia, CA The FINRA records of Ping Shuang Cathy Wu , a broker with Cetera Investment Services, disclose 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

ER
April 5, 2022

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

Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 5, 2022 October 3, 2023

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…

Robert Rex, Esq.
November 8, 2021

Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York

Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 8, 2021 October 3, 2023

Xiao Qin (Sarah) Komischke Investigation November 2021- New York, NY According to publicly available records, former Raymond James financial advisor Xiao Qin “Sarah” Komischke, is the subject of two pending…