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 […]
SEC Charges TCFG Investment Advisors with Making False Statements to Investors
The Securities and Exchange Commission recently filed a complaint against TCFG Investment Advisor, TCFG Wealth Management and Richard James Roberts. Here are some facts according to the complaint: From June 2014 through April 2020 is the relevant time period in the Complaint. The complaint alleges that Roberts mislead clients about the fees and mark-ups that […]