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 […]
Cetera Advisor Donna Hines Barred over Bitcoin Investments
Donna Hines (CRD# 4275524) has been sanctioned by securities regulators in connection to allegations concerning a Bitcoin investment. According to her Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 15, 2021, Ms. Hines was most recently registered with Cetera Advisors in Clarksburg, West Virginia. She is not currently registered with any state […]
Former Cetera Advisor Investigated by FINRA over Theft Allegations
Marianne Smith (CRD# 1587765) is under investigation by the Financial Industry Regulatory Authority (FINRA) in connection to alleged misconduct. According to FINRA, the former Cetera advisor is accused of theft. According to her FINRA BrokerCheck report, Ms. Smith was most recently registered with Cetera Advisors in Avon, Connecticut. She is currently not registered with any […]
Sarah Komischke Involved in $500,000 Dispute Over Offshore Annuity Investment
Sarah Komischke (CRD# 5076489) is embroiled in pending customer disputes alleging she caused more than half a million dollars in damages. According to her BrokerCheck report, accessed on November 26, 2021, the New York City-based broker and investment adviser is currently registered with Cetera Investment Services. She is also known as Xiao Komischke and Xiao […]
Ron Whittingham Suspended Over Annuity Applications
Ron Whittingham (CRD 4175525) has been suspended by FINRA. The suspension was announced on October 28, 2021. Rob Whittingham is based in Orland Park, Il. Important Details According to FINRA, Whittingham “falsified variable annuity replacement disclosure forms.” He did this to allegedly create the impression for clients that newer annuities provided better features. Ron Whittingham […]
Goldman Sachs Fires Advisor Robert Wolfe Over Customer Complaints
Former Fort Lauderdale-based Goldman Sachs broker Robert Wolfe has been fired. According to Financial Industry Regulatory Authority (FINRA) records, he was also recently registered with Cetera Advisor Networks. If you have complaints regarding Mr. Wolfe (CRD# 2268259), call MDF Law at 800-767-8040 for a free consultation. You may be able to recover lost funds. Goldman […]
Pending Complaints Against Cetera Broker Alexander Arango
Financial Industry Regulatory Authority (FINRA) records accessed on October 19, 2021 show that Florida-based Cetera Investment Services broker/adviser Alexander Arango has received, resolved or pending customer disputes. Investors with complaints about Mr. Arango (CRD# 6405666) are encouraged to call MDF Law at 800-767-8040 to discuss their rights. Customer Files Complaint Related to Structured Notes According […]
REIT Complaints Persist Against Ex-Summit Broker Richard Brown
Financial Industry Regulatory Authority (FINRA) records indicate that Florida-based Cetera Advisor Networks broker Richard Brown has received several resolved or pending customer disputes. MDF Law encourages investors who have complaints regarding Mr. Brown (CRD# 1595628) to contact us at 800-767-8040. Multiple Customer Complaints over REITs According to his BrokerCheck report, he has received five customer […]