• Utah Securities Regulators Crack Down: Three Brokerage Firms Fined for Unlawful Networking Agreements With Credit Unions
  • Ex-Cetera advisor suspended for allegedly trading options with customer’s retirement money
  • Investigation: Brant Andrew Ray, formerly of Cetera Advisors
  • Investigation: Ken Balser formerly of Cetera Advisors
  • George Merhoff: Investigation of Claims Related to Cetera Financial Advisor