Articles Tagged with CETERA ADVISOR NETWORKS LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Searing (Searing), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Searing 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 $52,000.00 on August 16, 2021.

Claimant alleges that their registered representative recommended unsuitable investments.

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Previously financial advisor Jeffrey Hallin (Hallin), previously employed by brokerage firm Cetera Advisor Networks LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,000.00 on October 04, 2021.

Claimant alleges that their registered representative recommended unsuitable investments, including non-traded REITs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Waggoner (Waggoner), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waggoner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 01, 2022.

PARTICIPANTS in a 401K Plan allege that between 2009 and 2022, representative recommended costly investments to the detriment of the 401K Plan. Participants also allege that representative was not registered in the proper state to provide investment advice to the 401K Plan.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Juhl (Juhl), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Juhl 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 $98,620.00 on November 07, 2025.

The client alleges that an unsuitable recommendation was made to surrender his Jackson National Life Insurance Company Annuity resulting in $98,620 of unexpected tax consequences due. The client alleges it was also recommended that he open a line of credit pay the tax consequences and he was previously debt free

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Waggoner (Waggoner), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waggoner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 01, 2022.

PARTICIPANTS in a 401K Plan allege that between 2009 and 2022, representative recommended costly investments to the detriment of the 401K Plan. Participants also allege that representative was not registered in the proper state to provide investment advice to the 401K Plan.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Joneson (Joneson), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Joneson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 05, 2022.

The claimant alleges the investments he purchased in 2014 were overconcentrated, unsuitable, and misrepresented to him by the representative. Additionally, the claimant alleges the firm failed to conduct due diligence of the investments and failed to supervise the activities of the representative.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Hughes (Hughes), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hughes 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 $18,000.00 on July 29, 2025.

The client alleges that the advisor misrepresented the insurance policy to her.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Hohol (Hohol), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hohol recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 02, 2023.

Customer alleges unsuitable investment recommendations which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Hughes (Hughes), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hughes 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 $10,900.00 on May 18, 2023.

CLIENT ALLEGES THE VARIABLE LIFE POLICY THAT WAS SOLD TO HIM ON 3-11-21 IS NOT A SUITABLE INVESTMENT FOR HIM.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Zorn (Zorn), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zorn 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 $450,000.00 on June 17, 2025.

Claimants allege Respondent recommended an unsuitable product.

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