{"id":2529,"date":"2017-04-07T00:00:00","date_gmt":"2017-04-07T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/ken-a-balser-cetera-colorado\/"},"modified":"2018-10-08T12:37:40","modified_gmt":"2018-10-08T16:37:40","slug":"ken-a-balser-cetera-colorado","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/ken-a-balser-cetera-colorado\/","title":{"rendered":"Colorado Cetera Advisors Broker Ken A. Balser Permanently Barred by FINRA"},"content":{"rendered":"<\/p>\n<p>Silver Law Group is investigating Colorado-based <a href=\"https:\/\/brokercheck.finra.org\/firm\/summary\/10299\" target=\"_blank\">Cetera Advisors LLC (CRD# 10299)<\/a> broker <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/704053\" target=\"_blank\">Ken A. Balser (CRD# 704053)<\/a> after FINRA permanently barred him.<\/p>\n<p>According to Balser\u2019s FINRA BrokerCheck report, FINRA permanently barred Balser from acting as a broker or otherwise associating with firms that sell securities to the public.\u00a0 The permanent bar follows Cetera Advisor\u2019s discharge of Balser in July 2016 due to allegedly engaging in private securities transactions in violation of Cetera Advisors policy.<\/p>\n<p>Balser, according to the FINRA BrokerCheck report, consented to sanctions and the entry of findings that he refused to appear for testimony and provide documents and information requested by FINRA for an investigation into the allegations that Balser had engaged in private securities transactions with Cetera Advisors.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/ken-a-balser-cetera-colorado\/\"  title=\"Continue Reading Colorado Cetera Advisors Broker Ken A. Balser Permanently Barred by FINRA\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Silver Law Group is investigating Colorado-based Cetera Advisors LLC (CRD# 10299) broker Ken A. Balser (CRD# 704053) after FINRA permanently barred him. According to Balser\u2019s FINRA BrokerCheck report, FINRA permanently barred Balser from acting as a broker or otherwise associating with firms that sell securities to the public.\u00a0 The permanent bar follows Cetera Advisor\u2019s discharge [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[586,580],"tags":[106,147,39,148],"class_list":["post-2529","post","type-post","status-publish","format-standard","hentry","category-cetera-financial-group","category-stockbroker-misconduct","tag-cetera-financial-group","tag-ken-a-balser","tag-lpl-financial","tag-secure-wealth-management"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Colorado Cetera Advisors Broker Ken A. Balser Permanently Barred by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; April 7, 2017<\/title>\n<meta name=\"description\" content=\"If you&#039;ve lost money investing with Ken A. Balser and Cetera Advisors or Secure Wealth Management, contact our firm to learn how you can try to recover.\" \/>\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\/ken-a-balser-cetera-colorado\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Colorado Cetera Advisors Broker Ken A. Balser Permanently Barred by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; April 7, 2017\" \/>\n<meta name=\"twitter:description\" content=\"If you&#039;ve lost money investing with Ken A. Balser and Cetera Advisors or Secure Wealth Management, contact our firm to learn how you can try to recover.\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Colorado Cetera Advisors Broker Ken A. Balser Permanently Barred by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; April 7, 2017","description":"If you&#039;ve lost money investing with Ken A. 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Balser and Cetera Advisors or Secure Wealth Management, contact our firm to learn how you can try to recover.","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/ken-a-balser-cetera-colorado\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/ken-a-balser-cetera-colorado\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Colorado Cetera Advisors Broker Ken A. Balser Permanently Barred by FINRA","datePublished":"2017-04-07T04:00:00+00:00","dateModified":"2018-10-08T16:37:40+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/ken-a-balser-cetera-colorado\/"},"wordCount":435,"keywords":["Cetera Financial Group","Ken A. 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