Investors possibly experienced sales practice violations by securities broker Paul Michael Weinberger [CRD: 2757427, Clearwater, Florida], based on publicly available information on FINRA BrokerCheck. Evidently, Weinberger has worked for Cetera Financial Specialists LLC since February 5, 2021, and for Cetera Investment Advisers LLC since February 26, 2021. Previously, he was registered with National Asset Management […]

Investors have come forward with complaints about securities broker Mark John Williams [CRD#: 4061842, Carmel, California]. Evidently, the securities broker, who worked for Centaurus Financial, Cetera Financial Group, and JP Turner Company, discloses investor disputes on FINRA BrokerCheck. Evidently, clients allege that Williams made unsuitable transactions and misrepresentations. For more on these disclosures about Williams, […]

The Financial Industry Regulatory Authority, Inc. (FINRA) recently censured three Cetera firms, and additionally fined the firms $1 million combined. Without admitting or denying FINRA’s findings, Cetera Advisor Networks agreed to a fine of $750,000, Cetera Advisors agreed to a fine of $150,000 and Cetera Financial Specialists to a fine of $100,000. The firms consented […]

The Financial Industry Regulatory Authority, FINRA, fined and censured a company owned by Cetera Financial Group, one of the country’s largest networks of independent broker-dealers, $40,000 for late and improper filings in more than half of its sales branch offices, among other filing problems. Cetera Advisor Networks, over a two-and-a-half year period ending last year, […]