Articles Tagged with Cetera Advisors LLC

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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.

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2024.

Claimants allege unspecified investment recommendations which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Strunc (Strunc), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Strunc 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 January 17, 2025.

Claimants generally allege negligent, improper conduct, breach of contract, breach of fiduciary duty, negligence, negligent supervision, and violations of Regulation BI.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Farris (Farris), currently associated with Cetera Advisors LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Farris 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 $207,649.00 on October 08, 2024.

Arbitration Statement of Claim alleged excessive and unsuitable securities trading in connection with the investments purchased in 2020 – 2021. Claimant further alleges the BD supervision of the claimant’s account was inadequate.

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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 one disclosable event. These events include one customer complaint, 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 January 08, 2025.

Claimant generally alleges unsuitability, fraud, breach of contract, and breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Gay (Gay), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gay 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 $40,000.00 on December 30, 2024.

CLAIMANT ALLEGES THE RR RECOMMENDED AN UNSUITABLE OIL & GAS INVESTMENT

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

FINRA BrokerCheck shows a settled customer complaint on July 07, 2023.

Claimant alleges alternative product recommendations were not suitable and that full disclosures were not made to her.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffery Sprague (Sprague), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sprague 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 $70,000.00 on November 08, 2024.

The client alleges that representative failed to disclose all material facts that could occur to the investment.

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