Articles Tagged with Cetera Advisors LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Fasanella (Fasanella), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fasanella 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 $400,000.00 on December 22, 2020.

Claimants allege that their registered representative recommended unsuitable investments.

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.

Claimant alleges that the registered representative made unsuitable recommendation.

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

FINRA BrokerCheck shows a settled customer complaint on March 02, 2021.

Claimant alleges their registered representative recommended unsuitable alternative investments.

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2021.

Client expresses concern about the amount of trading activity in his accounts and alleges the financial professional did not contact him prior to placing trades from 2012 – 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Forehand (Forehand), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forehand 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 $330,000.00 on March 26, 2021.

Claimant alleges that he purchased an unsuitable, high-risk investments. Claimant alleges the recommendation constituted breach of contract, negligence, and failure to supervise.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Davis (Davis), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 April 01, 2021.

Plaintiffs assert claims including suitability and negligence related to the purchase of two variable universal life policies purchased in 2002.

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

FINRA BrokerCheck shows a settled customer complaint on May 26, 2021.

Unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty and violation of the Arizona Consumer Fraud Act and Securities Act.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Malley (Malley), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Malley 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 $100,001.00 on June 18, 2021.

Claimant alleges their registered representative(s) recommended unsuitable investments in alternative investments.

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2021.

Claimant alleges that the registered representative recommended unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on November 11, 2025.

Client Alleges unsuitable and unmonitored strategy in their Advisory Retirement Accounts.

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