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UPDATE! Stanley Secor of Cetera is Now BARRED – Salt Lake City, UT

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29
Jul

UPDATE! Stanley Secor of Cetera is Now BARRED – Salt Lake City, UT

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UPDATE!  Stanley Secor of Cetera is Now BARRED – Salt Lake City, UT

Stanley Secor, formerly of Cetera Advisor Networks, Barred from Securities Industry

Have you lost money with financial advisor Stanley Secor of Salt Lake City, Utah?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Secor.  Secor was barred from the securities industry after he failed to respond to FINRA’s investigation into whether he violated securities rules and regulations.

Secor was previously the subject of a complaint by the Utah Division of Securities.  The Utah Division of Securities brought a regulatory action against Secor after he was terminated by his brokerage firm, Cetera Advisor Networks.  Secor was terminated by Cetera when he violated terms of his suspension.

Stanley Secor was a financial advisor and registered representative of Cetera Advisor Networks from November 2017 to December 2019.  He worked at a branch office in Salt Lake City, Utah.  

Brokerage firms like Cetera Advisor Networks have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers. 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Utah and the Salt Lake City area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

IF YOU LOST MONEY WITH STANLEY SECOR OR CETERA ADVISOR NETWORKS, PLEASE CONTACT US AT 720-599-3505 FOR A FREE EVALUATION OF YOUR CASE.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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