Investors potentially incurred losses because of securities broker Peter Chi-Bun Chow (also known as Peter Chi Bun Chow) [CRD: 6125403, Arcadia, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peter Chow has been registered with Cetera Investment Services LLC and Cetera Investment Advisers LLC since November 19, 2024. Previously, he was […]

Investors potentially incurred losses because of securities broker Christine Maushardt (also known as Christine Cardwell and Christine Knapp) [CRD: 5520504, Pearl River, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Maushardt has worked for Cetera Investment Services LLC since June 19, 2019, and Cetera Investment Advisers LLC since […]

Investors potentially experienced sales practice violations by securities broker David Nathan Cohen [CRD: 5083883, Yonkers, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Cohen worked for Cetera Investment Services LLC from June 20, 2019, to December 10, 2025. Keep reading to find out more about the disclosures involving Cohen. […]

Investors potentially incurred losses because of securities broker Donald Richard Abaunza Jr. [CRD: 3172450, Harvey, Louisiana], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Abaunza worked for Hancock Whitney Investment Services Inc. from February 8, 2012, to August 10, 2022, and thereafter worked for Cetera Investment Services LLC and Cetera Investment Advisers […]

Investors apparently complained about securities broker Damon Merrill [CRD: 4011748, Hillsboro, Oregon], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mapes worked for Cetera Investment Services LLC from February 28, 2013, to March 20, 2020, and from June 10, 2020, to December 21, 2020, and he later registered with LPL Financial […]

Investors apparently complained about securities broker Weina Hou [CRD: 5901613, Redwood City, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hou worked for Cetera Investment Services LLC from December 4, 2018, to January 3, 2025, and has been registered with Ameriprise Financial Services LLC since January 3, 2025. Keep reading […]

Investors might have sustained losses due to securities broker David Nathan Cohen [CRD: 5083883, Yonkers, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Cohen worked for Cetera Investment Services LLC from June 20, 2019, to December 10, 2025. Investors should continue reviewing this information to learn more about the disclosures […]

Investors potentially incurred losses because of securities broker Kerrie A. Coe (also known as Kerrie Cobb and Kerrie Lemon) [CRD: 4951159, Indianapolis, Indiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Coe worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC from January 21, 2014, to September 17, 2024, and […]

Investors apparently complained about securities broker George Mauae Purdy [CRD: 5865750, Kailua Kona, Hawaii], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Purdy worked for Cetera Wealth Services LLC beginning on January 13, 2025, and for Cetera Investment Advisers LLC beginning on January 24, 2025, following prior registrations with firms […]