Articles Tagged with Cetera Wealth Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Metcalf (Metcalf), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Metcalf 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 $489,898.00 on April 03, 2023.

Statement of Claim alleges representative failed in his duty to adequately supervise the subject representative.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Prestridge (Prestridge), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prestridge 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 May 02, 2023.

Client alleges that registered representative misrepresented third party managed program, resulting in $200,000 in damages.

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

FINRA BrokerCheck shows a settled customer complaint on May 02, 2023.

Customer alleges unsuitable investment recommendations which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Lawson (Lawson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lawson 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 $6,606.00 on April 27, 2023.

Client alleges that registered representative placed two trades in March of 2021 without her authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sacha Mackels (Mackels), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mackels 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 $10,900.00 on May 18, 2023.

Client alleges the variable life policy that was sold to him on 03/11/2021 is not a suitable investment for him.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Perkins (Perkins), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perkins 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 $125,000.00 on June 01, 2023.

Claimant alleges the RR recommended various unsuitable non-conventional investments.

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

FINRA BrokerCheck shows a settled customer complaint on June 06, 2023.

Claimants allege registered representative recommended unsuitable investments.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Nathan Wells (Wells), currently associated with Cetera Wealth Services, LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Wells  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on July 13, 2023.

Claimant alleges that Representative failed to disclose the risks, illiquidity, and high commissions associated with Representative’s recommendation of two non-traded investment vehicles. Claimant further alleges that the recommended products were not in Claimant’s best interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kluksdal (Kluksdal), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kluksdal 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 $500,000.00 on July 02, 2025.

Claimant generally alleges breach of fiduciary, negligence, and failure to supervise.

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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 2 disclosable events. These events include 2 customer complaints, 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 $400,000.00 on July 21, 2025.

Statement of Claim alleges the financial professional recommended unsuitable and risky investments resulting in substantial loss.

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