Soreide Law Group is investigating possible investor claims against securities broker Clark Owen [CRD #: 6096730, Cupertino, CA]. Owen worked for (1) Cetera Investment Advisors and Cetera Investment Services from 2018-Present; (2) NI Advisors from 2016-2018; and (3) Voya Financial Advisors from 2014-2015.
Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a NI Advisors client disputed Owen’s sales practices. Also, Voya Financial Advisors discharged him as a securities broker. Here is a brief summary of the disclosures on Owen:
Evidently, a client of NI Advisors contested Clark Owen’s sales practices by filing FINRA Arbitration #: 22-01153 on June 3, 2022. Allegedly, Owen engaged in unspecified sales practice violations. Supposedly, the corporate bonds transactions connected to this securities broker caused the client to sustain damages. Therefore, the client seeks compensatory relief from NI Advisors or Owen in the amount of $114,000 in this ongoing matter.
FINRA shows that Voya Financial Advisors discharged Clark Owen as a securities broker in April 2015. Supposedly, Owen did not follow company policy regarding advertisements.
Did you sustain damages through any sales practice violations by Clark Owen? If so, reach out to Soreide Law Group at (888) 760-6552 to discuss your situation with a securities lawyer about a potential recovery of your investment damages. Notably, Soreide Law Group has successfully recovered money for hundreds of investors in all 50 states. The firm represents clients through a contingency fee arrangement and advances all costs. Owen and brokerage firms Owen associated with deny all allegations against them.
FINRA sanctioned securities broker Lester Joel Hochler [CRD: 3209012, McDonough, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hochler worked for Cape Securities Inc. from March 17, 2016, to April 14, 2026, and joined American Global Wealth Management Inc. on December 5, 2019. He was also associated with G.F. […]
Investors might have sustained losses due to securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roger Roemmich worked for Alexander Capital LP from October 2, 2020, to May 30, 2025, as a general securities representative. See below to learn more about […]
Investors potentially incurred losses because of securities broker Avinesh Kumar Shankar [CRD: 6232970, Roseville, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avinesh Shankar worked for Pruco Securities LLC from October 9, 2019, to March 13, 2024. Investors are encouraged to continue reading to find out more about the disclosures involving Shankar […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com