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Tag: Cetera Advisors

Ronnie Metcalf Voya Financial Investor Alert: Ex-Voya Financial, Current Cetera Advisors Network Financial Adviser Facing Millions in Customer Disputes

September 22, 2021

National investor fraud law firm, KlaymanToskes, has commenced an investigation into former Voya Financial and current Cetera Advisors Network registered representative Ronnie Metcalf (“Ronnie Metcalf...

ATTENTION WALTER ALLEN CETERA ADVISORS SUFFIELD CT CUSTOMERS: FINRA Bars Former Cetera Advisors Broker

August 04, 2021

National investor fraud law firm, KlaymanToskes, has commenced an investigation (“Walter Allen Cetera Advisors Suffield CT Investigation”) into former Cetera Advisors broker Walter Allen in...

FINRA Fines Cetera $1 Million for Failure to Supervise Private Securities Transactions in Client Accounts

February 26, 2021

FINRA recently disclosed that Cetera Advisor Networks LLC, Cetera Advisors, LLC and Cetera Financial Specialists, LLC, (Cetera Firms) agreed to an Acceptance, Waiver and Consent...

Correction – The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation into Potential Sales Practice Violations by Cetera Advisors Related to Solicited Investments in Non-Traded REITs and BDCs

April 01, 2016

New York (Globe Newswire) – April 1, 2016 – In a release issued under the headline “The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation...

The Securities Arbitration Law Firm of KlaymanToskes Launches Investigation into Cetera Advisors Sales Practice Violations Related to Solicited Investments in Non-Traded REITs and BDCs

March 24, 2016

New York (Globe Newswire) – March 24, 2016 – The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, announces an investigation into Financial Industry Regulatory Authority (FINRA)...

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