Soreide Law Group shares important information below concerning securities broker Xiangyu Yu Zhang, who is also known as Sean Zhang (CRD#: 5050282, Alhambra, California). Namely, Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that Zhang has 14 disclosures, and 10 of them concern investment disputes relating to suitability. In addition, FINRA sanctioned Zhang twice, including barring […]

Cetera Investment Services Client Alleges Sales Practice Violation By Broker John Broughton The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Charles Broughton (CRD#: 2362478, Gross Pointe Woods, Michigan). Specifically, four investors filed disputes about Broughton. One of those investors filed a claim in July 2020 concerning Broughton’s actions at Cetera […]

Cetera Investment Services Clients Allege Unsuitable REITs By Mark Senofonte Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that seven investors filed disputes about securities broker Mark Angelo Senofonte (CRD#: 2038108, Doylestown, Pennsylvania). These disputes mainly concern Senofonte’s actions at Cetera Investment Services, where Senofonte worked as a securities broker from February 2007 to August 2021. […]

Cetera Investors File Disputes About Broker John Massa Investors are alleging investment losses because of Cetera Investment Services securities broker John Massa [CRD#: 2120585, Staten Island, New York]. Supposedly, the securities broker, who joined Cetera on September 8, 2010, shows 5 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Cetera clients indicate that […]

ATTENTION INVESTORS! Complaints Filed Concerning Cetera Brokers Todd Banducci, David Martin, Bradley Bowman, Joshua Beitel Cetera Advisors LLC (CRD#: 10299, Denver, Colorado) and Cetera Investment Services LLC (CRD#: 15340, Saint Cloud, Minnesota) are brokerage firms owned by Cetera Financial Group, Inc. which the Financial Industry Regulatory Authority (“FINRA”) regulates. Brokers of Cetera firms have reported […]

Cetera Settles Customers’ Claims of Unsuitability And Omissions Cetera Investment Services LLC (CRD#: 15340, Saint Cloud, Minnesota) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported, inter alia: eight regulatory events in regard to allegations of Cetera Investment Services’ violations of investment-related regulations or rules; and three FINRA arbitration awards […]