Tim Farris, Cetera Broker, Involved in Suitability Disputes
Tim Farris (CRD# 2178521), a broker registered with Cetera Advisors, made excessive and unsuitable trades, according to an investor dispute. MDF Law is investigating the West Bloomfield, Michigan-based financial professional for similar conduct. If you have concerns about investments in your accounts, call for a free consultation with an attorney. To learn more about Mr. […]
Andrew Pandis, Cetera Broker, Allegedly Concentrated Assets
Andrew Pandis (CRD# 2928410), a broker registered with Cetera, recommended an unsuitable and over-concentrated alternative investment, according to an investor dispute. MDF Law is investigating the Forest Hills, New York-based financial professional for similar conduct. If you have concerns about your portfolio, call us for a free and confidential consultation with an attorney. More information […]
Ivan Ffriend, Cetera Adviser, Suspended by FINRA
Ivan Ffriend (CRD# 1013083), a broker registered with Cetera, violated industry rules, according to a recent disciplinary action. MDF Law is investigating the New Rochelle, New York-based financial professional for similar conduct. If you have concerns about your accounts, call us for a free and confidential consultation with our team. More information about Mr. Ffriend’s […]
Roger Turcotte Suspended by FINRA
Roger Turcotte (CRD# 1180997), a broker registered with Cetera, mismarked order tickets, according to a disciplinary action against him. MDF Law is investigating the Tampa, Florida-based financial professional for similar conduct. If you have concerns about investments in your accounts, contact us for a free consultation. To learn more about the allegations against Mr. Turcotte, […]
Bill Carlton & Hans Hernandez Charged in Cherry-Picking Schemes
Bill Carlton (CRD# 1215541) and Hans Hernandez (CRD# 2109614), formerly brokers registered with Cetera Advisors and First Allied Securities, defrauded their customers, according to Securities and Exchange Commission charges. MDF Law is investigating the financial professionals for similar conduct. If you have concerns about investments in your accounts, contact us for a free and confidential […]
Stephen Smith of Cetera Involved in Suitability Dispute
Stephen Smith (CRD# 2632131), a broker registered with Cetera Investment Services, made unsuitable investment recommendations, according to an investor dispute. MDF Law is investigating the Fort Myers, Florida-based financial professional, who is also a representative of Regions Bank, for similar conduct. If you have concerns about your accounts, contact us to speak with an attorney […]
Gihan Fernando Allegedly Misrepresented REITs
Gihan Fernando (CRD# 4469669), a broker registered with Cetera Investment Services, misrepresented REITs, according to dozens of investor disputes. MDF Law is investigating the Houston, Texas financial professional for similar conduct. If you have concerns about investments in your accounts, call for a free consultation with our team. To learn more about the allegations against […]
Former Cetera Broker Rebecca Ng-Tsang Involved in New Investor Dispute
Rebecca Ng-Tsang (CRD# 5578435), formerly a broker registered with Cetera Investment Services, is involved in investor disputes, according to her Financial Industry Regulatory Authority (FINRA) BrokerCheck record. Accessed on July 3, 2023, this record notes that she was last registered as a broker in Bellevue, Washington. REIT, Annuity Disputes Seek $400,000 Ms. Ng-Tsang is involved […]
Tucson Broker Todd Anderson Forced to Resign from Kingswood Capital
Todd Anderson (CRD# 1896352) recently resigned from Kingswood Capital Partners following allegations that he caused unnecessary sales charges to a senior customer. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on June 13th, 2023, FINRA suspended him in April 2023 over the same allegations. Mr. Anderson was last registered as a broker […]
Kirk Knollman Fired from Cetera Advisors
Kirk Knollman (CRD #: 2089445), a formerly registered broker and investment adviser, has been fired from Cetera Advisor Networks, according to his BrokerCheck record, accessed on January 10, 2022. Details of the employer’s allegations are provided below. Knollman Fired by Cetera Advisor Networks Over Discretion On February 16, 2021, Cetera Advisor Networks fired Knollman following […]