Articles Posted in Cetera Advisors

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FINRA has barred former Cetera Advisors LLC broker Donna Jean Hines from the securities industry. Hines consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony in connection with FINRA’s investigation into whether she facilitated a customer’s bitcoin investment for compensation. The FINRA findings stated that although Hines initially cooperated with FINRA’s investigation, she eventually ceased doing so.

If you have lost money with Donna Jean Hines, or Cetera Advisors LLC, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Iorio Altamirano LLP represents investors nationwide that have disputes with their financial advisors or brokerage firms.

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FINRA has barred former Cetera Advisors LLC broker Walter Morrow Allen from the securities industry for refusing to provide information and documents requested pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010.

If you have lost money with Walter Morrow Allen, or Cetera Advisors LLC, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

FINRA Letter of Acceptance, Waiver, and Consent No. 2020066785901

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