Cetera Advisors LLC

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.

Broker David Perrotto in Cetera Advisors LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

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.

Broker David Strunc in Cetera Advisors LLC Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Timothy Farris in Firm Cetera Advisors LLC

March 13, 2025 | by Staff Attorney

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.

Broker William Carlton in Cetera Advisors LLC Firm Has Customer Complaint

March 8, 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 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.