Investors apparently complained about securities broker Shawn Christian Everett [CRD: 4653270, Estero, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Everett worked for Cetera Advisor Networks LLC from August 1, 2014, to December 12, 2023, and Cetera Investment Advisers LLC from May 12, 2023, to December 12, 2023, and he […]

Investors might have sustained losses due to securities broker Robert Edward Burns (also known as Rob Burns) [CRD: 4066393, Greenwood Village, Colorado], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Burns worked for Cetera Wealth Services LLC beginning September 20, 2019, and later became registered with Cetera Investment Advisers LLC on June […]

Investors apparently complained about securities broker Allan Eugene Rosen [CRD: 1146570, Wailuku, Hawaii], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Rosen worked for Cetera Wealth Services LLC beginning December 5, 2007, and later for Cetera Investment Advisers LLC beginning June 29, 2023, after previously working for Cetera Advisor […]

Investors might have sustained losses due to securities broker Harold Francis Puhl (also known as Chip Puhl) [CRD: 1045552, Dallas, Texas], according to disclosures on FINRA BrokerCheck. Notably, Puhl joined Cetera Wealth Services LLC on October 17, 2002, and Cetera Investment Advisers LLC on June 29, 2023. He was previously registered with Cetera Advisor Networks […]

One or more investors might have sustained losses due to securities broker Michael Scott Buonanno [CRD: 2823332, East Northport, New York], according to publicly available information reported on FINRA BrokerCheck. Buonanno has worked with Cetera Wealth Services LLC since February 1, 2019, and previously worked for Cetera Advisor Networks LLC in El Segundo, California, from […]

Investors complained about securities broker Gary William Holland [CRD: 852976, Leominster, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gary Holland worked for Ameriprise Financial Services Inc. until 2015. He joined Cetera Investment Advisers in 2023 and Cetera Advisor Networks in 2021. Here’s more about the securities broker’s disclosures and the […]

Investors may have incurred losses due to securities broker Brian Scott Graham [CRD: 2581633, Plainfield, Illinois], as reported by the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Graham was previously employed with Cetera Advisor Networks LLC from September 3, 2013, to April 12, 2024, and with Tower Square Securities Inc. from June 23, 2010, to September […]

Soreide Law Group is investigating possible investor claims on behalf of those who incurred losses through securities broker Charles Raymond Weldon [CRD: 1030659, Boca Raton, Florida]. Evidently, Weldon has worked for Independent Financial Group LLC in Boca Raton, FL since March 30, 2022, as a securities broker, and since April 6, 2022, as a financial […]

Soreide Law Group is investigating possible investor claims against securities broker Edward Isaac Rosenblatt [CRD: 2658712, Newport Beach, California]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Advisor Networks LLC. Evidently, investors allege sales practice violations in these disputes, including breach […]