Investors potentially incurred losses because of securities broker Donald Richard Abaunza Jr. [CRD: 3172450, Harvey, Louisiana], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Abaunza worked for Hancock Whitney Investment Services Inc. from February 8, 2012, to August 10, 2022, and thereafter worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC beginning August 10, 2022. Investors are encouraged to continue reading to find out more about disclosures involving Donald Abaunza.
Specifically, a client filed a complaint about Donald Abaunza. Mainly, the client alleged that Abaunza charged excessive fees relating to managed/wrap accounts and that advisory fees exceeded the 1% fee amount the clients allegedly understood would apply to their three accounts. For this reason, the client allegedly incurred damages. Consequently, on February 4, 2026, Cetera Investment Services LLC settled this matter by paying the client $12,000.
Particularly, a client of PrimeVest Financial Services contested Donald Abaunza’s sales practices, according to a complaint dated November 4, 2010. Allegedly, Abaunza made unsuitable recommendations. It appears that Abaunza allegedly caused the client to experience damages on poorly performing fixed annuities and municipal bonds. Therefore, the client sought compensation from PrimeVest Financial Services or Abaunza in this matter. However, the firm denied this complaint.
Are you concerned about investments you made through Donald Abaunza? You can contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of individuals throughout the country. Also, our securities lawyers represent investors on a contingency fee basis and advance all costs. Abaunza and brokerage firms Abaunza worked for deny allegations of sales practice violations.
Investors potentially incurred losses because of securities broker Donald Richard Abaunza Jr. [CRD: 3172450, Harvey, Louisiana], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Abaunza worked for Hancock Whitney Investment Services Inc. from February 8, 2012, to August 10, 2022, and thereafter worked for Cetera Investment Services LLC and Cetera Investment Advisers […]
Investors apparently complained about securities broker Richard Phillip Anthony [CRD: 1811812, New York, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Anthony worked for Oppenheimer Co. Inc. from December 13, 2019, to August 12, 2022, and again from May 14, 2024, to February 13, 2026. See the […]
Investors have reportedly disputed the sales practices of securities broker Christopher A. Pesce [CRD: 3274301, Melville, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pesce worked for UBS Financial Services Inc. from October 18, 2010, to November 21, 2025, before joining Wells Fargo Advisors Financial Network LLC and Wells Fargo […]
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