Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Marquardt (Marquardt), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marquardt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,300,000.00 on December 14, 2023.
Claimants generally allege unsuitability, failure to supervise, and negligence.