California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog

Categories

legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Recent Posts in Cetera Advisors Category

Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds

FINRA fined Cetera Financial Specialists $200,000 for supervisory deficiencies concerning its broker Alex P Anderson, whom FINRA previously barred for purportedly abusing his Power of Attorney ...
Continue reading "Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds" »

Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm

FINRA fined and suspended former Raymond James Financial Services broker and registered supervisor Michael Murphy Hurtgen for soliciting firm customers to invest in private placements away from the ...
Continue reading "Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm" »

Richard Foster Sanctioned for Unsuitable IRA Liquidation Recommendation, Risky ETF Trading Strategy

FINRA fined and suspended former Cetera Investment Services broker Richard Charles "Chuck" Foster for unsuitably recommending that a customer liquidate an IRA, and using the proceeds to ...
Continue reading "Richard Foster Sanctioned for Unsuitable IRA Liquidation Recommendation, Risky ETF Trading Strategy" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company

FINRA fined and suspended Cetera Advisors LLC (San Diego, CA branch) representative Iain Patrick Reilly for impersonating clients during phone calls he made from 2013 to 2016 to an insurance ...
Continue reading "Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company" »

FINRA Bars Ken Balser After Investigation into Private Securities Transactions

FINRA barred ex-Cetera Advisors LLC broker Kenneth Alan Balser of the firm's Colorado Springs branch in connection with an investigation into private securities transactions. FINRA's decision ...
Continue reading "FINRA Bars Ken Balser After Investigation into Private Securities Transactions" »
accolades
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
Website: