GAL SHERMAN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 30077 Agoura Court, Suite 210, Agoura Hills, CA, 91301.
GAL SHERMAN has worked at CETERA ADVISOR NETWORKS LLC since February 06, 2017
Disclosure History
GAL SHERMAN has 3 Disclosure Event(s).
Date: March 13, 2012 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT REGISTERED REP EXERCISED POOR JUDGMENT IN RECOMMENDING REAL ESTATE INVESTMENT, AND FAILURE TO CONSULT WITH CUSTOMER PRIOR TO EXECUTING THE TRADE. Damage Amount Requested: $5,656.25
Date: May 19, 2009 Category: Customer Dispute Allegations: COMPLAINT CONTAINS AN ALLEGATION THAT THE REPRESENTATIVE PLACED THE CLIENT IN UNSUITABLE MUTUAL BOND FUND INVESTMENTS IN DURING JANUARY 1, 2008 - DECEMBER 31, 2008. Damage Amount Requested: $30,884.00
Date: March 20, 2009 Category: Customer Dispute Allegations: COMPLAINT IS REGARDING A REAL ESTATE INVESTMENT TRUST PURCHASED IN JANUARY OF 2008 AND CONTAINS AN ALLEGATION THAT THE REPRESENTATIVE DID NOT INFORM THE CLIENT OF REDEMPTION FEES. THE CLIENT ALLEGES THAT THE REPRESENTATIVE MADE A MISREPRESENTATION THAT THE CLIENT COULD LIQUIDATE THE INVESTMENT AT ANY TIME. THE ALLEGED COMPENSATORY DAMAGE CLAIMED REPRESENTS THE TOTAL INVESTED AMOUNT. Damage Amount Requested: $50,000.00 Broker Comment: 02/07/2012 - THE CUSTOMER RE-OPENED THE MATTER WITH A WRITTEN CORRESPONDENCE, RECEIVED ON 01/18/2012. THIS IS A CONTINUATION OF THE SAME MATTER DESCRIBED ABOVE.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for GAL SHERMAN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.