Articles Tagged with Cetera Advisors LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Maria Jimenez (Jimenez), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jimenez 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 $19,809.00 on November 02, 2020.

The client alleges the financial advisor failed to inform her of the tax consequences associated with distributions from annuities in 2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Waters (Waters), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waters 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 $10,000.00 on April 21, 2020.

Misrepresentation and unauthorized trades which resulted in a decline of the portfolio value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ken Balser (Balser), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Balser 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 May 12, 2020.

Violations of Federal and Pennsylvania Securities Law, Violation of Pennsylvania Unfair Trade Practices, Violation of Colorado Securities and Consumer Protection Acts, breach of contract, common law fraud, breach of fiduciary duty, and gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Brunette (Brunette), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brunette 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 $100,000.01 on July 01, 2020.

Claimant generally alleges unsuitability, due diligence, fraud and failure to supervise.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Billy Martin (Martin), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 August 07, 2020.

Customers allege that the representative made unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Howell (Howell), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howell 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 $117,000.00 on December 30, 2020.

Claimant alleges the recommended investments were misrepresented, unsuitable, and over-concentrated.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Smith (Smith), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 30, 2020.

Claimants allege that their registered representative misrepresented and recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Fles (Fles), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fles 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 January 05, 2021.

Claimant alleges their registered representative recommended unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Han (Han), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Han 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 $100,000.01 on January 08, 2026.

Client alleges unsuitable REIT investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Haw (Haw), currently associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Haw 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 $35,000.00 on September 09, 2020.

Customer alleges unsuitable investment recommendations.

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