CETERA ADVISOR NETWORKS LLC

There are Recent Customer Complaints with Broker Mark Zorn in Firm Cetera Advisor Networks LLC

April 4, 2025 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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 $5,000.00 on August 21, 2024.

Claimants allege the financial professional made an unsuitable recommendation.

Broker Matthew Stucke in Cetera Advisor Networks LLC Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stucke (Stucke), currently associated with Cetera Advisor Networks LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Stucke 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 $488,295.00 on February 21, 2025.

Verbal allegations that the financial professional recommended unsuitable and risky investments resulting in substantial loss.

Broker Brian Graham in Cetera Advisor Networks LLC Firm Has Customer Complaint

March 16, 2025 | by Staff Attorney

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 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Graham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 27, 2024.

Without admitting or denying the findings, Graham consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation of the allegations made in an amended Form U4 submitted by his member firm. The findings stated that the Form U4 disclosed that a customer alleged that Graham made unauthorized ATM withdrawals.

Broker Brion Harris in Cetera Advisor Networks LLC Firm Has Customer Complaint

March 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 17, 2024.

Claimants allege unsuitable investment recommendations which resulted in losses.

There are Recent Customer Complaints with Broker Eliab Alonzo in Firm Cetera Advisor Networks LLC

March 3, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Eliab Alonzo (Alonzo), currently employed by Cetera Advisor Networks LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Alonzo’s most recent customer complaint alleges that Alonzo recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $95,000.00 on October 24, 2024.

Client alleges that structured notes purchased in October 2021 were unsuitable and performed poorly.

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.