Cetera Advisors LLC

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.

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.