Cetera Wealth Services

There are Recent Customer Complaints with Broker Carmine Anzalone in Firm Cetera Wealth Services, LLC

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmine Anzalone (Anzalone), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anzalone 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 $5,000.00 on March 21, 2022.

Client alleges RR told her she could take a withdrawal from her VA without penalty or tax implications if she reinvested the funds in an IRA within 60 days.

Broker Daniel Malachowski in Cetera Wealth Services, LLC Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Malachowski (Malachowski), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Malachowski 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 $43,470.00 on May 20, 2022.

Not fully investigating and/or disclosing the full costs of an insurance policy.

There are Recent Customer Complaints with Broker Daniel Cuddy in Firm Cetera Wealth Services, LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Cuddy (Cuddy), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cuddy 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 $27,000.00 on June 16, 2022.

Customer alleged the purchase of MicroStrategy Incorporated (MSTR) into her discretionary managed account was not suitable.

There are Recent Customer Complaints with Broker Michael Volini in Firm Cetera Wealth Services, LLC

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Volini (Volini), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volini 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 August 21, 2022.

Claimant states claims for fraud, breach of fiduciary duty, negligence and breach of contract and alleges damages of $50,000, and also seeks pre-judgment and post-judgment interest for Claimant’s loss of use of his capital, and costs and fees.

Broker Anthony Oliveri in Cetera Wealth Services, LLC Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Oliveri (Oliveri), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oliveri 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 $14,000.00 on August 24, 2022.

Claimant alleged that, in or around March 2015, representative sold claimant two unsuitable alternative investment products but did not tell claimant that such products were speculative, illiquid, and non-traded, and that claimant May not be able to get claimant’s money back.

There are Recent Customer Complaints with Broker Hector Mena in Firm Cetera Wealth Services, LLC

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hector Mena (Mena), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mena 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 $700,000.00 on August 27, 2025.

Claimant alleges representative recommended unsuitable investments.

Broker David Stamper in Cetera Wealth Services, LLC Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2023.

CLAIMANTS ALLEGE THEY WERE RECOMMENDED UNSUITABLE INVESTMENTS.

There are Recent Customer Complaints with Broker Nathan Wells in Firm Cetera Wealth Services, LLC

October 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimants alleged that the Representative recommended multiple alternative investment products that resulted in substantial losses. Claimants further alleged that Representative misrepresented the risks and potential for future income and growth.

Broker Ronald Stortz in Cetera Wealth Services, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimant further alleged that the Representative misrepresented the risks and potential for future income and growth.

Broker Alex Lee in Cetera Wealth Services, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 25, 2024.

Claimants alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimants further alleged that Representative misrepresented the risks and potential for future income and growth of the product.