| Read Time: 2 minutes | Cetera Advisors Complaints |


Scott Vincent Kaup Of Cetera Advisor Networks Has 3 Customer Complaints for Alleged Broker Misconduct

Who is Scott V. Kaup of Cetera Advisor Networks?

Scott Kaup (CRD #1002907) who is currently registered with Cetera Advisor Networks and located in Stuart, Nebraska is a subject of one of our many securities industry sales practice abuse investigations.

Prior to Cetera Advisor Networks, Scott Kaup was associated with Summit Brokerage Services and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Cetera Advisor Networks Broker Misconduct

In his career, Scott Kaup has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. All three customer complaints against Scott Kaupp arose at VSR Financial Services and all 3 were settled in favor of investors.

Allegations Against Scott Kaup

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • The client alleges Scott Kaup made unsuitable investment recommendations, material misrepresentations, and omissions, and supervisory due diligence failures.
  • Scott Kaup made unsuitable recommendations and committed common law fraud, breach of fiduciary duty, and negligence.

Scott Kaup Red Flags & Your Rights as An Investor

Of course, Scott Kaup did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Scott Kaup at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Scott Kaup has engaged in any stockbroker misconduct that may have caused them investment losses.

There have been a large number of customer complaints at Cetera Advisor Networks which also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses at Cetera Advisor Networks

If you have questions about Cetera Advisor Networks and/or Scott Kaup and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars