The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor James McKinney (McKinney), formerly employed by Cetera Advisors LLC (Cetera) has been subject to at least three customer complaints, three tax liens, and one regulatory action during the course of his career. According to records kept…
According to BrokerCheck records financial advisor Stephen Carver (Carver), formerly employed by Lifemark Securities Corp. (Lifemark Securities) and Cetera Advisors LLC (Cetera Advisors) has been subject to at least two customer complaints, one regulatory complaint, three employment terminations for cause, and three tax liens. According to records kept by The…
According to BrokerCheck records financial advisor Travis Hughes (Hughes), currently employed by Cetera Advisors LLC (Cetera) has been subject to twelve customer complaints and one employment termination for cause during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the many of the customer complaints against…
Advisor Donna Hines (Hines), currently employed by Cetera Advisors LLC (Cetera) has been subject to at least four customer complaints. According to a BrokerCheck report the customer complaints concern alternative investments and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Scott Kozak (Kozak), formerly associated with Cetera Advisors LLC (Cetera) in Highlands Ranch, Colorado has been accused by his former firm and barred by FINRA over unapproved securities. In addition, Kozak has four customer complaints on…
Former Cetera Advisors LLC (Cetera Advisors) advisor Nina Jessee (Jessee) has been subject to at least 21 customer complaints and one employment termination for cause. According to a BrokerCheck report many of the customer complaints concern variable annuities or alternative investments and direct participation products (DPPs) such as non-traded real…
Since the beginning of 2017 broker Abraham Heimann (Heimann) has subject to three customer complaints alleging millions in damages. Heimann left his last employer Cetera Advisors LLC (Cetera) in February 2016. According BrokerCheck the customer complaints allege breach of fiduciary duty, unsuitable investments, negligence, and failure to diversify the portfolio,…
Broker Daniel Vazquez (Vazquez) was recently sanctioned by The Financial Industry Regulatory Authority (FINRA) in an enforcement action that resulted in a permanent bar from the securities industry. According to the FINRA AWC (Letter of Acceptance, Waiver, and Consent) FINRA found that Vazquez failed to request termination of his suspension…
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Ken Balser (Balser). According to FINRA settlement, Balser consented to sanctions that he refused to appear for testimony and provide documents and information to FINRA concerning allegations that he engaged in private…
The investment attorneys of Gana Weinstein LLP are investigating investor claims of unsuitable investments in oil and gas related products. Our firm is currently representing a number of investors who lost substantial savings due to poor advice to concentrate holdings in speculative commodities investments like master limited partnerships (MLPs). According…