Articles Tagged with Cetera Advisors LLC

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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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Krsek (Krsek), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krsek 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 21, 2020.

Customer alleges unsuitable investment recommendations.

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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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