Articles Tagged with Cetera Advisors LLC

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The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Cetera Advisors LLC. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.

Cetera Advisors is an independent broker-dealer that supports affiliated financial professionals in providing brokerage and investment services, directing client capital to third-party managers and funds. Headquartered at 5299 DTC Boulevard in Greenwood Village, Colorado, the firm is part of the Cetera network and has been registered with the SEC since 1981.

Cetera Advisors LLC – By the Numbers:

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Frost (Frost), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frost 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 $899,060.45 on May 29, 2026.

Customer alleges the registered representative misrepresented investments made from December 2015 through September 2025.

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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 2 disclosable events. These events include 2 customer complaints, 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 Daniel Brunette (Brunette), currently associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, 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 2 disclosable events. These events include 2 customer complaints, 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 Peter Rhee (Rhee), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhee 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 $60,000.00 on May 07, 2026.

Unsuitable sale and the lack of due diligence associated with the sale of Atlas Growth Partners.

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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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