Cetera Advisors LLC: (CRD#:10299/SEC#: 801-33020,8-26892)
This company, located in Denver Colorado and founded in 1981, also does business as Cetera Advisors LLC, Multi-Financial Securities Corporation. It is licensed in 53 U.S. States and Territories. Cetera has 150 full time employees and provides products and services to over 1,100 financial professional across the nation with $30 billion in assets under administration.
Barred Financial Advisor, George Merhoff, Has Twenty-Seven Customer Complaints, Including Seven Pending Complaints, Alleging Sales Practice Violations
By mwolper | Jun 24, 2019
George C. Merhoff, Jr. was a Financial Advisor at Cetera Advisors LLC and Pacific West Securities, Inc. in Klamath Falls, OR, and at AAG Securities, Inc. in Cincinnati, OH. George Merhoff entered the securities industry in 1997. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), George Merhoff has twenty-seven customer […] Read More →
Cetera Advisors, LLC Broker, Travis Hughes, Has Twelve Customer Complaints, Including One Pending Complaint
By mwolper | Jan 6, 2019
The Wolper Law Firm is currently investigating claims against Travis Hughes, a Financial Advisor at Cetera Advisors in El Paso, Texas. Travis Hughes has been in the securities industry since the 1980s and previously worked at Investors Capital Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Travis Hughes has […] Read More →
Former Investors Capital And Cetera Financial Advisor, Nina Jessee, Terminated For Not Disclosing Outside Business Activities, And Now The Subject Of Ten Customer Complaints
By mwolper | Oct 6, 2018
The Wolper Law Firm is currently investigating claims against Nina Jessee, a former Financial Advisor at Investors Capital Corp and Cetera Advisors in Abingdon, Virginia. Nina Jessee has been in the securities industry since the 1980s. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 10, 2017, Nina Jessee […] Read More →
Cetera Advisors Terminated Scott Kozak For “Violating Firm Policy Prohibiting Securities Transactions”
By mwolper | Aug 30, 2018
The Wolper Law Firm is currently investigating claims against Scott Kozak, a former Financial Advisor at Cetera Advisors in Highlands Ranch, Colorado. Scott Kozak has been in the securities industry since the 1980s and previously worked at Financial West Group According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July […] Read More →
Attorney Matthew Wolper
Matt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks.
[Attorney Bio]