Articles Tagged with Cetera Advisors LLC

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Braccia (Braccia), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Braccia 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 $10,000.00 on August 06, 2025.

Claimant generally alleges suitability, misrepresentation, failure to supervise and breach of fiduciary duty.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on August 06, 2025.

Clients alleges unsuitable recommendations.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luong Pham (Pham), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pham 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 $150,000.00 on February 27, 2023.

Claimant alleges their financial adviser recommended unsuitable investments that resulted in losses.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2023.

Claimants allege they were recommended unsuitable investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Oneill (Oneill), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oneill 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 $50,000.00 on March 30, 2023.

Misrepresentation

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on April 04, 2023.

The complainant alleges that, beginning in or around 2019, the rep was involved in a matter where unsuitable recommendations and material misrepresentations were made in relation to annuity products and fraudulent real estate investments, which resulted in financial harm to the complainant.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Burkott (Burkott), currently associated with Cetera Financial Specialists LLC / Cetera Wealth Services, LLC / Cetera Investment Services LLC / Cetera Advisors LLC / Avantax Investment Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Burkott 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 $489,898.00 on April 03, 2023.

The statement of claim alleges that the representative failed his duty to maintain and enforce adequate supervisory system.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on July 06, 2023.

Claimants allege they were recommended and overconcentrated in suitable investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fagan (Fagan), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fagan 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 $125,000.00 on January 15, 2025.

Unsuitable recommendations of alternative investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Anderson (Anderson), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $130,000.00 on April 07, 2025.

Rep failed to follow through on clients instructions to move their accounts to cash accounts before the downturn.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design