Articles Tagged with Cetera Wealth Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Huppert (Huppert), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huppert 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 $4,700,000.00 on November 24, 2025.

Claimant, the beneficiary of the trust accountholder, alleges an unsuitable investment strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Palmer (Palmer), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Palmer 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 $99,999.00 on July 21, 2021.

Claimant alleges Cetera and their registered representative made unsuitable recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Patterson (Patterson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patterson 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 August 05, 2021.

Claimants alleged unsuitability of alternative investment which caused financial harm. The allegations include unsuitability, fraud, breach of contract, breach of fiduciary duty, negligence and violation of laws.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Cruz (Cruz), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cruz 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 $200,000.00 on November 29, 2021.

Claimant alleges their registered representative recommended unsuitable and illiquid alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Virgil Biggs (Biggs), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Biggs 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 $350,000.00 on December 06, 2021.

Claimants alleged the investments they purchased in 2014 and 2015 were not suitable and were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bushkin (Bushkin), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bushkin 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 31, 2022.

Customers alleged the representative determined in what to invest and did not obtain their approval prior to investing.

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

FINRA BrokerCheck shows a pending customer complaint on October 13, 2025.

Customers alleged the investments they purchased were not suitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stucke (Stucke), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stucke 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 $690,000.00 on October 15, 2025.

Claimant alleges that the RR recommended unsuitable and risky investments that resulted in substantial losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Jarvis (Jarvis), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jarvis 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 $800,000.00 on October 17, 2025.

Claimant alleges excessive advisory fees

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Myers (Myers), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Myers 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 $300,000.00 on October 27, 2025.

Allege investment was not suitable in light of Claimants’ stated investment objectives and risk tolerance.

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