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Cetera Advisors
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December 30, 2021
Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
November 03, 2021
Investors Who Lost Money in Northstar Financial Services (Bermuda) & Beechwood Bermuda May Be Entitled to Damages From Firms That Sold Notes & Annuities
April 24, 2020
Brokerages Stop Risk-Laden REIT Sales After Massive Coronavirus Losses
July 16, 2019
Convicted Fraudster Daniel Vazquez Gets Prison for Swindling Seniors Out of $2.6 Million
June 26, 2019
Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements
June 13, 2019
Nina Jessee Latest Cetera Advisors Broker Barred by FINRA
July 11, 2018
Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds
February 08, 2022
Raymond James Under Investigation for Northstar Financial Services (Bermuda) Sales
March 09, 2021
Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct
January 25, 2021
Cetera Firms Fined $1 Million for Supervisory Failures in Third-Party Securities Transactions
March 23, 2020
FINRA Sanctions Scott Kozak for Soliciting $1.2 Million Away from Firm Cetera, False Statements
November 08, 2019
Cetera's Christopher Kozak Suspended for Undisclosed Outside Business Activity with Nutrition Bar Investments
August 26, 2019
Ex-Cetera Broker Merhoff Racking Up Complaints After FINRA Bar
August 10, 2019
Cetera's Mengxuan 'Sharon' Zhang Sanctioned for Falsifying Customer Signature Pages
July 09, 2019
After Customers Suffer Losses, FINRA Cites Cetera's Summit Brokerage Services for Failing to Review Excessive Trade Alerts
March 19, 2018
Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm
January 19, 2018
Richard Foster Sanctioned for Unsuitable IRA Liquidation Recommendation, Risky ETF Trading Strategy
December 27, 2017
NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
April 01, 2017
Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company
December 20, 2016
FINRA Bars Ken Balser After Investigation into Private Securities Transactions
