Cetera Advisors LLC

There are Recent Customer Complaints with Broker Jeffrey Forehand in Firm Cetera Advisors LLC

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Forehand (Forehand), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forehand 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 $330,000.00 on March 26, 2021.

Claimant alleges that he purchased an unsuitable, high-risk investments. Claimant alleges the recommendation constituted breach of contract, negligence, and failure to supervise.

There are Recent Customer Complaints with Broker Bryan Davis in Firm Cetera Advisors LLC

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Davis (Davis), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $5,000.00 on April 01, 2021.

Plaintiffs assert claims including suitability and negligence related to the purchase of two variable universal life policies purchased in 2002.

Broker Lennard Van Der Feltz in Cetera Advisors LLC Firm Has Customer Complaint

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lennard Van Der Feltz (Van Der Feltz), currently associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Van Der Feltz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 26, 2021.

Unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty and violation of the Arizona Consumer Fraud Act and Securities Act.

Broker Alexander Malley in Cetera Advisors LLC Firm Has Customer Complaint

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Malley (Malley), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Malley 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 June 18, 2021.

Claimant alleges their registered representative(s) recommended unsuitable investments in alternative investments.

There are Recent Customer Complaints with Broker Larry Pence in Firm Cetera Advisors LLC

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2021.

Claimant alleges that the registered representative recommended unsuitable investments.

Broker J. Paul Escudero in Cetera Advisors LLC Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 11, 2025.

Client Alleges unsuitable and unmonitored strategy in their Advisory Retirement Accounts.

There are Recent Customer Complaints with Broker James Witkowski in Firm Cetera Advisors LLC

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Witkowski (Witkowski), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Witkowski 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 $100,000.00 on November 14, 2025.

Claimant generally alleges over-concentration, misrepresentation, suitability, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Sean Manners in Firm Cetera Advisors LLC

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Manners (Manners), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Manners 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 $17,353.49 on July 21, 2021.

Client alleges that the fees and costs with the purchase of a variable life insurance policy were not explained to him and his wife prior to purchasing the policy.

There are Recent Customer Complaints with Broker Douglas Filipovits in Firm Cetera Advisors LLC

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Filipovits (Filipovits), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Filipovits 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 $300,000.00 on September 16, 2021.

Claimant alleges that their registered representative recommended unsuitable, high-risk, and illiquid investments.

There are Recent Customer Complaints with Broker William Benjamin Herritage in Firm Cetera Advisors LLC

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Benjamin Herritage (Herritage), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Herritage 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 October 13, 2021.

CUSTOMERS ALLEGE UNSUITABLE RECOMMENDATIONS, MISREPRESENTATIONS, OMISSION OF MATERIAL FACT AND FAILURE TO CONDUCT PROPER DUE DILIGENCE IN REGARDS TO TRANSACTIONS IN A NON-TRADED REIT.