Articles Tagged with Cetera Wealth Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Dowell (Dowell), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dowell 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 $19,114.00  on May 20, 2020.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $19,114.00  on May 20, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Debany (Debany), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Debany recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 12, 2020.

Client alleges RR placed trades without her authorization and did not take tax implications into consideration.

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Currently financial advisor William Richardson (Richardson), currently employed by brokerage firm Cetera Wealth Services, LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on June 09, 2020.

Approximately 4-7 years after electing to invest in REITs and BDCs, Claimant (a retired lawyer) now alleges that the investments were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Raciti (Raciti), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Raciti 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 $37,227.84  on July 03, 2020.

Clients allege that due to a miscommunication error by registered representative in October 2019, funds were not reallocated as intended after their partial rollovers from their 403(b) accounts were done.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darin Arnell (Arnell), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arnell 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 $237,494.00  on July 27, 2020.

Client alleges investments were not suitable. Client further alleges over-concentration in investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Long (Long), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Long 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 $33,000.00  on July 28, 2020.

Client is concerned regarding investment performance, cost, and lack of liquidity regarding investments purchased in 2013.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bell (Bell), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bell 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 $237,494.00  on July 27, 2020.

Client alleges investments were not suitable. Client further alleges over-concentration in investment.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Bret Hartman (Hartman), currently employed by Cetera Wealth Services, LLC has been subject to at least 6 disclosable events. These events include 6 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Hartman’s most recent customer complaint alleges that Hartman recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,000.00  on August 10, 2020.

Customer alleges misrepresentation and unsuitability of structured product investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Jackson (Jackson), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jackson 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 $145,000.00  on August 18, 2020.

Client alleged the products into which he invested in 2014 were misrepresented and unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ross (Ross), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ross 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 $5,000.00  on March 17, 2026.

Claimants allege unsuitable recommendations and breach of fiduciary duties

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