Cetera Advisors LLC

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.

Broker George Gay in Cetera Advisors LLC Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

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

Broker Stephen Lawler in Cetera Advisors LLC Firm Has Customer Complaint

February 7, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Jeffery Sprague in Firm Cetera Advisors LLC

February 3, 2025 | by Staff Attorney

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.