Articles Tagged with CETERA ADVISOR NETWORKS LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Graham (Graham), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 June 05, 2025.

Claimant alleges that representative made unauthorized ATM withdrawals

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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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Emerson (Emerson), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Emerson 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 $215,000.00 on July 31, 2023.

Claimants allege breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Eggers (Eggers), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Eggers 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 $100,000.00 on July 31, 2023.

Claimant alleges they were recommended high-commission unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Philipkosky (Philipkosky), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Philipkosky 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 $260,000.00 on August 07, 2023.

TRUSTEE ALLEGES REP ASSISTED [REDACTED] WITH MAKING A CHANGE TO HER TRUST IN OCTOBER 2019 AT WHICH TIME TRUSTEE CLAIMS SHE WAS NOT OF SOUND MIND. TRUSTEE FURTHER ALLEGES THE CHANGE WAS DETRIMENTAL TO HIM BECAUSE HE COULD NOT SELL CERTAIN PROPERTY AS INTENDED. TRUSTEE ALSO ALLEGED THAT RR HAD [REDACTED]’S SIGNATURE NOTARIZED IMPROPERLY.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Malek (Malek), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Malek 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 August 10, 2023.

Client is unhappy with her immediate fixed annuity and was not aware she would have limited access to her funds.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eszylfie Taylor (Taylor), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $150,000.00 on August 30, 2023.

Misrepresentation and omission of material fact concerning two investments is alleged.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Carter (Carter), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carter 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 $550,000.00 on September 26, 2023.

Claimant alleges, inter alia, breach of fiduciary duty with respect to the lack of detection of the alleged outside fraud perpetuated against the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Shaw (Shaw), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shaw 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 $99,093.00 on November 08, 2023.

Client’s daughter alleged her mother’s account was invested too aggressively and lost significant value.

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