Soreide Law Group is investigating possible investor claims against securities broker Robert Spencer (also known as Robert Jonathan Spencer) [CRD: 431878, Cheektowaga, NY]. Evidently, FINRA punished the securities broker, who worked for Cetera Advisor Networks LLC. Allegedly, Robert Spencer did not provide information and documents to FINRA when it investigated potential FINRA rule violations. Here is a brief summary of FINRA’s case against Spencer.
Notably, on February 14, 2022, FINRA issued Case: 2020068414601 punishing Spencer for infractions. Specifically, Spencer was barred as a securities broker. Notably, FINRA alleged that Spencer failed to provide information and documents to FINRA when it investigated his possible private securities transactions (also known as “selling away” by securities brokers). The regulator’s rules call for securities brokers to comply in investigations or else face punishment including a potential bar as securities broker.
Evidently, Spencer worked for Cetera Advisor Networks LLC in Cheektowaga, NY, as a securities broker from September of 2013 to August of 2021.
Did you suffer damages by investing with Spencer? Reach out to Soreide Law Group at (888) 760-6552 and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for many investors in the United States, represents clients on a contingency fee basis and advances all costs. The firm will take the time to fully understand your situation and will carefully explain your legal options. Spencer and brokerage firms Spencer worked for deny any and all allegations of sales practice violations.
Investors have reportedly disputed the sales practices of securities broker John Dennis Lowry [CRD: 4336146, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Lowry has been registered with Spartan Capital Securities LLC since July 10, 2008. See the following information to learn more about the disclosures involving […]
Investors potentially experienced sales practice violations by securities broker Michael Christopher Venturino [CRD: 5872439, Dix Hills, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Venturino worked for Spartan Capital Securities LLC from April 17, 2018, to February 2, 2023, Trident Partners Ltd. from July 1, 2017, to April […]
Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Cape Securities Inc. from April 21, 2020, to February 25, 2026, and Cape Investment Advisory Inc. from April 6, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com