• Cetera Advisors, LLC Charged with Breach of Fiduciary Duty and Defrauding Clients
  • Yvonne Silguero, Financial Advisor for LPL Financial, Involved in $500,000 Customer Dispute
  • Rob Burns, Registered Representative with Cetera Advisors Networks, Involved in $500,000 Customer Dispute
  • Maureen Scalzo, Formerly of Benjamin F. Edwards & Company, Barred by FINRA Following Failure to Testify
  • Steve Klinger, Formerly of Wells Fargo, Barred by FINRA Following Failure to Testify
  • Michael D’Aquila, Formerly of Merrill Lynch, Barred by FINRA for Alleged Conduct Inconsistent with Firm Standards