Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Behrendt (Behrendt), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Behrendt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $20,248.00 on August 12, 2023.
FAILURE TO FOLLOW INSTRUCTIONS. CLIENT AUTHORIZED TRADES IN HER ACCOUNT TO GENERATE REQUESTED CASH BUT SPECIFICALLY DID NOT WANT CERTAIN HOLDINGS SOLD. THE HOLDINGS WERE SOLD IN ERROR AND CAUSED SIGNIFICANT TAX LIABILITY.