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CETERA投资服务以中国夫妇的7位数Beechwood Bermuda索赔命名

Published on:2022年6月2日 | 经过Shepherd Smith Edwards＆Kantas，LLP

Ex-Cetera Investment Services Broker Xinxin Lu May Have Overconcentrated Couple’s Account in Obscure, Offshore Investment Our seasoned securities lawyers have filed a Financial Industry Regulatory Authority (FINRA) arbitration case against Cetera Investment Services on behalf of two Chinese investors. These investors seek up to $5M in damages for losses they sustained in Beechwood Bermuda. The […]

索赔人说，CETERA投资服务不合适地推荐Northstar Healthcare收入，医疗保健信托和Griffin Realty Trust

Published on:2022年5月17日 | 经过Shepherd Smith Edwards＆Kantas，LLP

CETERA投资服务经纪人Chang Vung以六位数的非交易REIT命名，要求一个自雇的纽约投资者对Cetera Investment Services及其经纪人Chang Jen Vung提出了金融业监管机构（FINRA）仲裁索赔。索赔人在非交易房地产投资信托基金中遭受了损失。索赔人在[…]中最多可追求50万美元

Beechwood Bermuda投资者从Cetera和经纪人Leo Li-Yuan Chien那里寻求高达50万美元

Published on:2022年3月28日 | 经过Shepherd Smith Edwards＆Kantas，LLP

Beechwood Bermuda Investor Was Unsuitably Recommended Non-Traded REIT Healthcare Trust Another Chinese investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Cetera Investment Services over losses suffered in Beechwood Bermuda (a Northstar Financial Services (Bermuda)-related product). This investor also suffered investment losses in the non-traded real estate investment trust, Healthcare Trust Incorporated […]

退休人员对CETERA的7位数Northstar金融服务（百慕大）索赔

Published on:2021年12月6日 | 经过Shepherd Smith Edwards＆Kantas，LLP

一名索赔人要求向诺斯斯塔尔（Bermuda）（百慕大）损失损失高达500万美元的损失，而年长的投资者在与CETERA Investment Services，LLC合作时，就她在Northstar Financial Services（Bermuda）遭受的损失提出了FINRA仲裁索赔。索赔人是在美国银行拥有帐户的退休人员和外国国民。[…]

客户指责前塞塔经纪人罗伯特·沃尔夫（Robert Wolfe）不合适和遗漏

Published on:2021年12月6日 | 经过Shepherd Smith Edwards＆Kantas，LLP

佛罗里达州财务顾问劳德代尔堡（Fort Lauderdale）以六位数的客户纠纷命名罗伯特·布莱恩·沃尔夫（Robert Brian Wolfe），他是2020年7月至2021年10月的高盛经纪人，最近被经纪人交易者驳回。他的解雇是在与涉及市场估值和投资组合绩效的客户沟通有关的指控以及对客户不满的处理[…]的指控。

CETERA顾问Broker Jeffrey Meyers Accused of Making Unsuitable REIT Investment Recommendations

Published on:November 10, 2021 | 经过Shepherd Smith Edwards＆Kantas，LLP

酒店投资者信托Was One of the REITs Marketed Cetera Advisors Network broker Jeffrey Gerard Meyers, an Overland Park, Kansas financial advisor, is named in two pending customer disputes. The claimants are accusing him of making unsuitable investment recommendations involving non-liquid real estate investment trusts (REIT). One of the products was Hospitality Investors Trust (HIT […]

中国老年退休人员对CETERA投资服务提交六位数的PB投资持有案

Published on:2021年9月24日 | 经过Shepherd Smith Edwards＆Kantas，LLP

Customer’s FINRA Arbitration Hearing Seeking Up to $500K Will Take Place in Los Angeles Our broker fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) have filed a FINRA arbitration claim against Cetera Investment Services. A very elderly Chinese widow who entrusted the firm to keep her money safe suffered considerable […]

Chinese Retiree Pursues Up To $500K From Cetera Over PB Investment Holdings Losses

Published on:2021年8月23日 | 经过Shepherd Smith Edwards＆Kantas，LLP

由于CETERA财务顾问的建议，退休人员在PB投资持有率中遭受了重大损失。总部位于百慕大的离岸投资（隶属于Northstar […]

Former Cetera Advisors Network Broker David Rockwell Sentenced To Prison For Fraud

Published on:2021年6月9日 | 经过Shepherd Smith Edwards＆Kantas，LLP

Ex-Fort Meyers, Florida Financial Advisor Misappropriated $1.02M From Investors A former Cetera Advisors Network registered representative, David Aaron Rockwell, has been sentenced to 63 months in federal prison for multiple counts of bank fraud and wire fraud. According to the US Justice Department, Rockwell defrauded investors of over $1.02M and used their money to pay […]

前CETERA顾问经纪人Mark Barrand被指控提出不合适的投资建议

Published on:June 3, 2021 | 经过Shepherd Smith Edwards＆Kantas，LLP

Denver Financial Advisor Mark Barrand Named in Pending Customer Disputes Mark Allen Barrand, an Ameriprise Financial broker based in Denver, has nine customer claims on his BrokerCheck record. The most recent one, brought in February 2021, was from his time as a Cetera Advisors registered representative. Barrand has worked 14 years in the industry, and […]