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 Freeman (Freeman), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Freeman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 08, 2023.

Client alleges unsuitable recommendation regarding variable life\, insurance policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Brown (Brown), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $368,803.00 on November 22, 2023.

Claimant alleges they were invested in unsuitable investments and made excessive annuity sales.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Pace (Pace), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pace 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 $25,000.00 on December 06, 2023.

Claimant alleges she was recommended unsuitable investments.

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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.

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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.

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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.

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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

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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.

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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.

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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.

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