Articles Tagged with Cetera Advisors LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Cudworth (Cudworth), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cudworth 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 $11,402.00 on October 25, 2021.

The representative failed to invest the product properly and misrepresentation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mckinney (Mckinney), previously associated with Cetera Advisors LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Mckinney 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 $1,000,000.00 on October 19, 2021.

Claimant alleges unsuitable investment recommendations.

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

FINRA BrokerCheck shows a final customer complaint on November 08, 2021.

Without admitting or denying the findings, Hines consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony in connection with FINRA\\u2019s investigation into whether she facilitated a customer\\u2019s bitcoin investment for compensation. The findings stated that although Hines initially cooperated with FINRA\\u2019s investigation, she eventually ceased doing so.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Burton (Burton), currently associated with Cetera Advisors LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Burton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 23, 2022.

In June 2021, Mr. Burton entered into an AWC with FINRA relating to the sale of certain variable annuities. Solely as a result of that, the State of Florida determined to suspend his insurance license for a three-month period.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Heublein (Heublein), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heublein 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 $140,000.00 on December 31, 2021.

Client is requesting compensation for option losses in which she alleges the representative provided poor advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Heublein (Heublein), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heublein 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 $140,000.00 on December 31, 2021.

Client is requesting compensation for option losses in which she alleges the representative provided poor advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Alsdorf (Alsdorf), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alsdorf 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 March 02, 2022.

Client alleges unsuitability, breach of fiduciary duty, failure to supervise, material omission and negligence.

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

FINRA BrokerCheck shows a settled customer complaint on March 07, 2022.

Client verbally complained that, although he advised the financial advisor he did not want to lose money, the investment has lost value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Thomas (Thomas), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 $14,000.00 on March 21, 2022.

Claimant alleges they were recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Divirgilio (Divirgilio), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Divirgilio 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 $14,000.00 on March 21, 2022.

Claimant alleges they were recommended unsuitable investments.

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