Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Bret Hartman (Hartman), currently employed by Cetera Wealth Services, LLC has been subject to at least 3 disclosable events. These events include 3 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Hartman’s most recent customer complaint alleges that Hartman recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,000.00 on August 10, 2020.
Customer alleges misrepresentation and unsuitability of structured product investment.