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Cetera Advisor Network LLC Investment Attorney

Our law firm represents investors that have been mistreated by their financial advisors and brokerage firms, such as Cetera Advisor Network LLC (Cetera Advisors). Many investors do not realize they have been victims of securities misconduct and those that do are often hesitant to seek help. Securities related misconduct spans many issues and topics but all misconduct violates various industry standards and rules including unauthorized trading, securities fraud, unsuitable asset allocation, and churning. Our firm’s lawyers can analyze your account statements and investment to determine if there was misconduct in the handling of your account.

Cetera Advisor Networks was founded in 1983 as Financial Network Investment Corporation, a independent contractor brokerage firm. Cetera Advisor’s business model is based upon the belief that advisors could succeed by joining teams that offered local support and guidance across a nationwide network.

Cetera Financial Group is affiliated with, under common control, or otherwise performs business under the company names Multi-Financial Securities Corporation, Cetera Advisors LLC, Financial Network Investment Corporation, PrimeVest Financial Services, Cetera Financial Institutions, Genworth Financial Investment Services, Cetera Financial Specialists LLC, First Asset Management Corporation, Gordon Simmers Security Corporation, and Entrust Financial Group, Inc.

Cetera Advisor – By the Numbers:

  • CRD# 13572
  • SEC# 8-29577
  • 7 Regulatory Events
  • 15 Customer Complaints
  • Representatives: 1,955 - 2012

Cetera Advisor – In the News:

NASD v. Financial Network Investment Corporation, Inc., et al NASD No. EAF0400760002 – The NASD fined Cetera’s predecessor firms concerning violation of rules that prohibit member firms from favoring or disfavoring the sale of mutual fund shares on the basis of brokerage commissions received by the firm. The NASD alleged that respondents maintained a program known as the Strategic Partners program where mutual fund complexes participating in the program received preferential treatment from respondents in the sales and marketing of their funds. The NASD found that the program provided increased access to respondents' retail brokerage sales forces, placement of materials on Respondents' web sites, and identification as a Strategic Partner on the Respondents’ intranet websites. NASD found that the mutual fund complexes made payments for participating in the program by directing a total of approximately $25.7 million in mutual fund portfolio brokerage commissions to Respondents through clearing brokers during the three-year time period.

Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.

Client Reviews
Thank you Adam and all your colleagues for the professionalism and diligence in the final settlement of our securities fraud case. When a past law firm group turned our case down, you and your firm took on the case and we thank you for the great outcome. We would highly recommend your firm. Gloria K.
I will never forget how much you helped me by winning my case! I never thought I would see any money from my investment. I admire the way you fight for everyday people against big companies. Thank you so much! Myra W.
Adam is an outstanding lawyer. I have worked on several cases with Adam and look forward to working with him again in the future. Rob D. - Co-Counsel.
If you want an attorney that is easy to talk to and genuinely cares about your legal situation, contact Adam Gana. He helped me settle a difficult contract dispute. When you work with Adam, he makes you feel as if you are his top priority. He will call you regularly to stay on top of the situation and submits all necessary legal documentation in a timely manner. His writing is excellent, his demeanor professional, and his work exceptional. Nancy N.
Adam helped me recover money from my broker when I thought all was lost. My house was about to be foreclosed, and I lost everything. Adam came in and saved my life. Jean C.