The securities fraud attorneys at Meyer Wilson are currently investigating claims against former Cetera Advisors and LPL Financial broker Ken Balser (CRD# 704053).
Former broker and investment adviser Ken A. Balser (CRD# 704053) was permanently barred by the Financial Industry Regulatory Authority (FINRA) from associating with firms that sell securities to the public or from acting as a broker on December 19, 2016.
FINRA Department of Enforcement began an investigation into Balser’s activities in late 2016 after he allegedly engaged in private securities transactions that violated Cetera Advisors LLC’s policies. As part of that investigation, FINRA requested that he produce information and provide testimony. Balser refused to comply, which resulted in his permanent ban.
Cetera Advisors LLC, based out of Colorado Springs, CO, fired Balser on July 18, 2016 after he violated the firm’s policy by engaging in private securities transactions. He was previously registered with LPL Financial based out of Colorado Springs.
Our securities fraud lawyers at Meyer Wilson are currently investigating claims against former broker and investment adviser Ken Balser. If you lost money investing with him, contact us today by giving us a call at one of our four office locations or fill out our online form to request a free case evaluation. Every case we take on is handled on a contingency fee basis, so you won’t owe any legal fees until we’ve successfully helped you recover your losses. Since we first opened our doors nearly two decades ago, our attorneys have helped approximately 1,000 clients recover hundreds of millions of dollars. Don’t face down this difficult situation without the experienced legal counsel you need to secure the outcome you deserve.