Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Waggoner (Waggoner), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waggoner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 01, 2022.
PARTICIPANTS in a 401K Plan allege that between 2009 and 2022, representative recommended costly investments to the detriment of the 401K Plan. Participants also allege that representative was not registered in the proper state to provide investment advice to the 401K Plan.