Articles Posted in Cetera Advisors

WILLIAM CARLTON of Cetera Advisors is FIRED
Israels & Neuman, PLC
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Cetera Advisors Fires Advisor William Carlton for Inappropriate Trading Practice Allegations KIRKLAND, WASHINGTON Were you a client of financial advisor William Carlton from Kirkland, Washington? Our securities arbitration law firm is looking into allegations made against William Carlton also known as Bill D. Carlton. In December 2023, he was fired by Cetera Advisors. Cetera Advisors…

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WARNING: Investigation of MARIANNE SMITH of Cetera Advisors
Israels & Neuman, PLC
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AVON, CONNECTICUT Have you lost money with financial advisor Marianne Smith, formerly of Cetera Advisors in Avon, Connecticut? We are looking into allegations made against Marianne Oshee Smith. FINRA began investigating Smith regarding allegations that she converted $43,900 from a customer. The funds were alleged to have been used to purchase mutual funds for Smith’s…

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DONNA HINES of Cetera Involved in FINRA Investigation
Israels & Neuman, PLC
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CLARKSBURG, WEST VIRGINIA Have you lost money with financial advisor Donna Hines, formerly with Cetera Advisors in Clarksburg, West Virginia? We are looking into allegations made against Donna Jean Hines. Hines was barred from the securities industry by FINRA after she failed to respond to an investigation. FINRA was investigating allegations that Hines facilitated a…

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