Investors potentially incurred losses because of securities broker Donald Richard Abaunza Jr. [CRD: 3172450, Harvey, Louisiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Abaunza has worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC since August 10, 2022, and previously worked for Hancock Whitney Investment Services Inc. from February 8, 2012, to August 10, 2022. Investors are encouraged to continue reading to learn more about Abaunza’s client dispute disclosures.
Specifically, a client filed a complaint about Donald Abaunza The client alleged that Abaunza charged excessive advisory fees to the client. As a result, on February 4, 2026, Cetera Investment Services LLC settled this matter by paying the client $12,000. Abaunza reportedly contributed $5,000 toward the settlement.
Additionally, a client of PrimeVest Financial Services disputed Abaunza’s sales practices, according to a complaint dated November 4, 2010. Allegedly, Abaunza made unsuitable recommendations involving municipal bonds and fixed annuities. It appears that Abaunza allegedly caused the client to sustain damages. Therefore, the client sought compensation from PrimeVest Financial Services or Abaunza in this matter. PrimeVest Financial Services denied the complaint on December 27, 2010.
Do you need guidance on any investment losses relating to Donald Abaunza? Get in touch with Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Abaunza and brokerage firms Abaunza worked for deny allegations of sales practice violations.
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Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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