CETERA ADVISOR NETWORKS LLC Tag Archives

There are Recent Customer Complaints with Broker Edward Rosenblatt in Firm Cetera Advisor Networks LLC

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Rosenblatt (Rosenblatt), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosenblatt 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 $200,000.00 on June 21, 2023.

Claimant alleges breach of fiduciary duty, breach of written contract, breach of oral contract, failure to supervise and control.

Broker John Leonardi in Cetera Advisor Networks LLC Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Leonardi (Leonardi), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leonardi 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 $55,474.00 on June 21, 2023.

Claimant generally alleges breach of contract, breach of fiduciary duty and negligent supervision.

Broker Anthony Caruso in Cetera Advisor Networks LLC Firm Has Customer Complaint

June 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Caruso (Caruso), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caruso 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 $5,000.00 on December 21, 2023.

The client is alleging that the advisor did not inform her of the surrender charges associated with the contract, and he did not tell her she could lock in the value with the performance lock feature.

There are Recent Customer Complaints with Broker William Collins in Firm Cetera Advisor Networks LLC

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

Client verbally alleged unauthorized and excessive trading. – January 2020 – August 2023

Broker Eric Wishan in Cetera Advisor Networks LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2013 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Bradley Bergdahl in Cetera Advisor Networks LLC Firm Has Customer Complaint

May 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Kirkland Wilson in Firm Cetera Advisor Networks LLC

May 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirkland Wilson (Wilson), previously associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Wilson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 25, 2024.

Respondent Wilson failed to respond to FINRA requests for information.

Broker Wayne Hurley in Cetera Advisor Networks LLC Firm Has Customer Complaint

May 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Hurley (Hurley), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hurley 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 $73,365.81 on March 20, 2025.

Customer alleges that the Financial Professional failed to act in their best interest.

Broker Brent Pine in Cetera Advisor Networks LLC Firm Has Customer Complaint

May 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Pine (Pine), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pine 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 $250,000.00 on April 11, 2025.

Claimant alleges that Mr. Pine made negligent and improper recommendations of investment products that were not suitable to the clients desire to preserve principal and avoid unnecessary risk. Claimant also alleges that fair and balanced disclosures were not made regarding the high-risk nature of the investment products recommended.

There are Recent Customer Complaints with Broker Kevin Wilson in Firm Cetera Advisor Networks LLC

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wilson (Wilson), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 $40,000.00 on April 01, 2024.

Claimant alleges he was sold an unsuitable investment.