CETERA ADVISOR NETWORKS LLC

Broker David Moore in Cetera Advisor Networks LLC Firm Has Customer Complaint

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Moore (Moore), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $1,000,000.00 on December 23, 2024.

CLAIMANT GENERALLY ALLEGES BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, FAILURE TO SUPERVISE AND NEGLIGENCE.

Broker Richard Mccloskey in Cetera Advisor Networks LLC Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 27, 2023.

Client alleges unsuitable recommendation regarding variable life insurance policy.

Cetera Advisor Networks LLC Broker Thomas Ealy Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ealy (Ealy), currently associated with Cetera Advisor Networks LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Ealy 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 November 01, 2024.

Liquidity, investment purpose, and risk tolerance. Further, the investment was misrepresented to client.