Cetera Advisors LLC

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.

Broker Janine Ledbetter in Cetera Advisors LLC Firm Has Customer Complaint

June 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janine Ledbetter (Ledbetter), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ledbetter 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 $99,999.00 on December 05, 2023.

Claimants allege unsuitable recommendations of alternative investments, primarily in Northstar Healthcare REIT starting in 2013.

Broker William Obrien in Cetera Advisors LLC Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 20, 2023.

Customer alleges the Variable Universal Life insurance policy she purchased in May 1994 was originally understood to provide a guaranteed amount, and also that the premium payment would always remain the same.

There are Recent Customer Complaints with Broker Adam Marquardt in Firm Cetera Advisors LLC

June 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Marquardt (Marquardt), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marquardt 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 $3,300,000.00 on December 14, 2023.

Claimants generally allege unsuitability, failure to supervise, and negligence.

There are Recent Customer Complaints with Broker John Lynde in Firm Cetera Advisors LLC

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

Customer alleges that an investment made in 2014 was inappropriate for the customer’s investment objectives and risk tolerance.

Broker Peter Rhee in Cetera Advisors LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Rhee (Rhee), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhee 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 January 16, 2024.

Claimant generally alleges suitability, failure to supervise, and negligence.

Broker Brian Everett in Cetera Advisors LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Everett (Everett), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Everett 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 January 11, 2024.

Claimant alleges unsuitable recommendations and over concentration in alternative investments

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

May 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 25, 2025.

Claimants allege they incurred high margin balances and account losses as a result of their investment advisor’s day-trading strategy. Claimants also allege misrepresentation, negligence, breach of contract, and breach of fiduciary duty.

Broker Mary Silvers in Cetera Advisors LLC Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Silvers (Silvers), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Silvers 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 $33,000.00 on May 22, 2024.

The client alleges unsuitable investment, representatives failed to invest all monies into the market.

There are Recent Customer Complaints with Broker George Merhoff in Firm Cetera Advisors LLC

April 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 06, 2024.

Claimants allege unsuitable investment recommendations which resulted in losses.