{"id":2640,"date":"2017-01-04T00:00:00","date_gmt":"2017-01-04T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/cetera-broker-unauthorized-trading-allegations\/"},"modified":"2017-07-27T14:00:38","modified_gmt":"2017-07-27T18:00:38","slug":"cetera-broker-unauthorized-trading-allegations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/cetera-broker-unauthorized-trading-allegations\/","title":{"rendered":"Former California Cetera Advisors Broker Under Investigation for Unauthorized Trading Allegations and FINRA Permanent Bar"},"content":{"rendered":"

Silver Law Group is investigating Cetera Advisors (CRD# 10299)<\/a> broker Daniel B. Vazquez Sr. (CRD# 3141463)<\/a> after FINRA permanently barred him.<\/p>\n

According to Vazquez\u2019s FINRA BrokerCheck report, FINRA permanently barred him from acting as a broker or otherwise associating with firms that sell securities to the public in June 2016 for failing to respond to a FINRA request for information.<\/p>\n

The permanent bar comes just two months after a FINRA arbitration was filed alleging unsuitable recommendations and unauthorized trades which led to portfolio losses.\u00a0 In addition to that FINRA arbitration filed in April 2016, another FINRA arbitration filed in August 2016 is currently pending.\u00a0 That FINRA arbitration also alleges unsuitable recommendations and unauthorized trades in addition to misrepresentations in the amount of $107,000.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Silver Law Group is investigating Cetera Advisors (CRD# 10299) broker Daniel B. Vazquez Sr. (CRD# 3141463) after FINRA permanently barred him. According to Vazquez\u2019s FINRA BrokerCheck report, FINRA permanently barred him from acting as a broker or otherwise associating with firms that sell securities to the public in June 2016 for failing to respond to […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-2640","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nFormer California Cetera Broker Daniel Vazquez Under Investigation<\/title>\n<meta name=\"description\" content=\"If you have lost money investing with Daniel B. 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