Clark Owen, Broker with Cetera Investment Services, Named in Customer Dispute Alleging Losses in GWG-L Bonds

INVESTORS: Cetera Investment Services broker Clark Owen was named in customer dispute following allegations of losses in GWG-L bonds.

Clark Owen (CRD: 6096730) is registered as a broker and investment adviser with Cetera Investment Services, where he’s been employed since 2018. Owen was previously registered as a broker with NI Advisors from 2016 until 2018.

Owen has two disclosures on his BrokerCheck report. 

June 2022 Customer Dispute

Status: Pending

Allegations: Claimant alleges damages for $114,000 invested in GWG bonds.

Damage Amount Requested: $114,000.00

April 2015 Employment Separation After Allegations

Firm Name: Voya Financial Advisors, Inc.

Termination Type: Discharged

Allegations: Failure to follow firm policy regarding submission of advertisements prior to use.

Broker Comment: I am very new to the industry and had been only licensed for about 5 months before the incident happened and was eventually terminated by Voya Financial. My future cautionary action is if I do need to advertise in the future, I will inform and get approval from my broker-dealer compliance officer to make sure that they are compliance to the SEC and FINRA rules and regulations.

The Sonn Law Group is currently investigating allegations surrounding Clark Owen. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.