Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Heublein (Heublein), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heublein 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 $140,000.00 on December 31, 2021.
Client is requesting compensation for option losses in which she alleges the representative provided poor advice.