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Investor Names Clark Owen in Dispute Involving GWG L Bonds

Clark Owen (CRD #: 6096730), a broker registered with Cetera Investment Services, is involved in a pending dispute, according to his BrokerCheck record, accessed on July 30, 2022. Investors may also have worked with him through Cetera Investment Advisers. Read on to learn more about Clark Owen’s conduct as a broker.

Investor Dispute

On June 3, 2022, an investor named Clark Owen in a dispute alleging that the client suffered $114,000 in losses after investing in GWG L bonds. This dispute is currently pending.

Discharge from Voya Financial Advisors

On April 16, 2015, Clark Owen was fired from Voya Financial Advisors after allegedly failing to follow firm policy concerning the submission of advertisements prior to use.

FINRA Rule 2210

FINRA Rule 2210 requires firms to review and approve advertisements and other public-facing communications before they are published.

Background Information

Clark Owen has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Clark Owen is a registered broker in eight states and a registered investment adviser in California.

He has also worked for the following firms:

  • NI Advisors (CRD#:134502)
  • Voya Financial Advisors (CRD#:2882)
  • ING Financial Partners (CRD#:2882)

Kurta Law Can Help

If you worked with Clark Owen and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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