{"id":11148,"date":"2023-09-01T09:44:04","date_gmt":"2023-09-01T13:44:04","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11148"},"modified":"2023-09-01T09:44:04","modified_gmt":"2023-09-01T13:44:04","slug":"former-cetera-broker-clarice-saw-charged-with-fraud-by-sec","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/former-cetera-broker-clarice-saw-charged-with-fraud-by-sec\/","title":{"rendered":"Former Cetera Broker Clarice Saw Charged With Fraud By The SEC"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11149 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/09\/Blog-Graphics2.png\" alt=\"Clarice Saw (Clarice Crystal Saw CRD 2633118, aka \u201cChin Saw,\u201d \u201cClarice Chin Saw\u201d) was previously \u00a0employed by Cetera Investment Advisers LLC (CRD# 105644 and 1540) of Flushing, NY, Citigroup Global Markets Inc. (CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. She has been in the industry since 1996.\n\nOn July 28, the SEC announced that it has filed fraud charges against Saw in a $2.4 million case of misappropriation. The SEC\u2019s complaint alleges that Saw \u201cengaged in a fraudulent scheme\u201d and drained the accounts of an elderly customer. Acting without customer consent, Saw liquidated all the customer\u2019s assets and transferred the proceeds to her personal bank and brokerage accounts.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/09\/Blog-Graphics2.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/09\/Blog-Graphics2-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Clarice Saw (Clarice Crystal Saw CRD<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2633118\" target=\"_blank\"> 2633118<\/a>, aka \u201cChin Saw,\u201d \u201cClarice Chin Saw\u201d) was previously \u00a0employed by Cetera Investment Advisers LLC (CRD# 105644 and 1540) of Flushing, NY, Citigroup Global Markets Inc. (CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. She has been in the industry since 1996. <a href=\"https:\/\/www.silverlaw.com\/blog\/former-cetera-broker-clarice-saw-charged-with-fraud-by-sec\/#more-11148\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Clarice Saw (Clarice Crystal Saw CRD 2633118, aka \u201cChin Saw,\u201d \u201cClarice Chin Saw\u201d) was previously \u00a0employed by Cetera Investment Advisers LLC (CRD# 105644 and 1540) of Flushing, NY, Citigroup Global Markets Inc. (CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. She has been in the industry since 1996. [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588,580],"tags":[],"class_list":["post-11148","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Former Cetera Broker Clarice Saw Charged With Fraud By SEC<\/title>\n<meta name=\"description\" content=\"The SEC has filed fraud charges against former Cetera broker Clarice Saw in a $2.4 million case of misappropriation.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/former-cetera-broker-clarice-saw-charged-with-fraud-by-sec\/\" 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