Investors potentially incurred losses because of securities broker Michael William Jarvis [CRD: 2160274, McKinney, Texas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jarvis worked for Cetera Wealth Services LLC beginning on November 1, 2017, and later became registered with Cetera Investment Advisers LLC on June 29, 2023, after previously being associated with Cetera Advisor Networks LLC from September 7, 2017, to June 29, 2023. Investors should review the information below to discover more about the disclosures involving Jarvis.
Evidently, on October 17, 2025, a Cetera Wealth Services LLC client filed FINRA Arbitration No. 25-02222 concerning Michael Jarvis. Primarily, the client alleged that Jarvis charged excessive fees. For this reason, the client allegedly experienced damages. Therefore, the client requested $800,000 in compensation from Cetera Wealth Services LLC or Jarvis. It appears that this arbitration awaits a resolution.
Also, a client of AXA Advisors LLC contested Michael Jarvis’s sales practices, according to a complaint. Allegedly, Jarvis engaged in unauthorized trading. It appears that Jarvis caused the client to experience damages linked to mutual funds. As a result, AXA Advisors LLC opted to settle the matter on June 24, 2002, by compensating the client in the amount of $132,860.
Did you suffer any investment-related losses because of Michael Jarvis? You can contact 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 investors throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Jarvis and brokerage firms Jarvis worked for deny allegations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Brian Joseph Cote [CRD: 4218494, Nashville, Tennessee], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cote worked for GPWA LLC since November 18, 2014, and Gramercy Park Wealth Advisors LLC since May 4, 2017. Keep reading to find out more about the disclosures involving […]
Investors potentially incurred losses because of securities broker Paul Wesley Witthauer [CRD: 1672263, Jamestown, North Dakota], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Witthauer worked for G. A. Repple Company beginning December 1, 2017, and later became registered as a financial advisor with the same firm on October 28, 2019. Read on […]
Investors apparently complained about securities broker Joseph Ward (also known as Joe Ward) [CRD: 7384642, West Hartford, Connecticut], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ward worked for UBS Financial Services Inc. from May 5, 2023, to January 25, 2024, and later joined Northwestern Mutual Investment Services LLC on June […]
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