Cetera Advisors LLC

There are Recent Customer Complaints with Broker Randy Roesler in Firm Cetera Advisors LLC

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Roesler (Roesler), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roesler 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 $250,000.00 on May 12, 2025.

Plaintiff alleges breach of fiduciary duty concerning funds transferred from a 529 account. Timeframe: 2011 – 2018

There are Recent Customer Complaints with Broker Paul Rizzo in Firm Cetera Advisors LLC

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Rizzo (Rizzo), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rizzo 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 $50,000.00 on May 22, 2025.

Claimants generally allege suitability, misrepresentation, and failure to supervise.

There are Recent Customer Complaints with Broker Joshua Rushing in Firm Cetera Advisors LLC

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Rushing (Rushing), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rushing 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 July 23, 2023.

The client alleges trades place in November of 2022 were not authorized.

There are Recent Customer Complaints with Broker Stephen Kerutis in Firm Cetera Advisors LLC

July 16, 2025 | by Staff Attorney

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 settled customer complaint on July 26, 2023.

Customer alleges that she gave the advisor $500 in cash, which he took. Customer also alleges misrepresentation of market linked CDs. In a follow-up complaint dated 7/25/23, the customer also alleged forgery of her signature on account documents.

Broker Randall Mason in Cetera Advisors LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $99,999.00 on July 31, 2023.

Arbitration Statement of Claim alleged the investments Claimant purchased in 2014 were unsuitable given herfinancial situation, investment objectives and risk tolerance. The Claimant further alleges the BD failed to conduct adequate due diligence on the investment programs.

Broker Dave Hutchison in Cetera Advisors LLC Firm Has Customer Complaint

July 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dave Hutchison (Hutchison), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hutchison 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 $800,000.00 on September 28, 2023.

Claimant allege breach of fid. Duty, negligence and negligent supervision.

There are Recent Customer Complaints with Broker Chad Anderson in Firm Cetera Advisors LLC

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad 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 $50,000.00 on October 26, 2023.

CUSTOMER ALLEGES THAT REIT INVESGTMENT WAS MISRERESENTED AS HAVING NO RISK. Activity period2016-2021.

There are Recent Customer Complaints with Broker Martin Berman in Firm Cetera Advisors LLC

July 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2023.

Claimant generally alleges suitability, fiduciary duty, breach of contract, failure to supervise and financial elder abuse.

Broker Derek Mclean in Cetera Advisors LLC Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2023.

Claimant generally alleges suitability, fiduciary duty, breach of contract, failure to supervise and financial elder abuse.

Broker Robert Fagan in Cetera Advisors LLC Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

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 settled customer complaint on November 29, 2023.

Claimants allege unsuitable recommendations of alternative investments, primarily in NorthStar Healthcare REIT. The dates vary for the numerous claimants listed.