Articles Tagged with Cetera Wealth Services

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

Claimant alleges unsuitable recommendations and breach of fiduciary duties.

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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 one disclosable event. These events include one customer complaint, 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 Tim Clairmont (Clairmont), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clairmont 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 February 13, 2026.

Customer alleges misrepresentation of Trilinc Global Impact Funds purchased from financial professional in 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Chan (Chan), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chan 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 $108,000.00 on February 23, 2026.

Claimants allege unsuitable recommendations and excessive concentration risk.

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