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 […]

Richard Kushnir Has a History of Sanctions and Investor Complaints

M Financial Planning Enters Consent Agreement with Pennsylvania

Richard Kushnir (CRD# 1324068) has received several regulatory sanctions and customer complaints. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 8, 2021, he was most recently registered with Saxony Securities in Northbrook, Illinois. He is currently not registered as a broker or an investment adviser. Sanctions: Kushnir Failed to […]