Cetera Wealth Services

There are Recent Customer Complaints with Broker Gerard Nicosia in Firm Cetera Wealth Services, LLC

April 15, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Gerard Nicosia (Nicosia) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Nicosia was employed by Cetera Wealth Services, LLC at the time of the activity. If you have been a victim of Nicosia’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $125,001.00 on January 20, 2021.

Unsuitable investment was allegedly recommended in private investment fund.

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

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lane (Lane), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lane 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 January 20, 2021.

Claimant alleges Respondent misrepresented, over-concentrated and recommended unsuitable investment.

Broker Christopher Kirkland in Cetera Wealth Services, LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kirkland 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 $250,000.00 on February 02, 2026.

Customer alleges the investment they purchased were not suitable

Broker Kevin Kelly in Cetera Wealth Services, LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelly 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 $250,000.00 on February 02, 2026.

Customer alleges the investments they purchased were not suitable

There are Recent Customer Complaints with Broker Rene Randel in Firm Cetera Wealth Services, LLC

April 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rene Randel (Randel), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Randel 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 $100,000.00 on February 04, 2026.

Customer alleges that his instructions were not followed.

There are Recent Customer Complaints with Broker Ann Reagan in Firm Cetera Wealth Services, LLC

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ann Reagan (Reagan), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reagan 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 $112,766.00 on February 06, 2026.

Customer alleges 2021 trading strategy and funding were not authorized.

There are Recent Customer Complaints with Broker Gary Frisch in Firm Cetera Wealth Services, LLC

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Frisch (Frisch), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frisch 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 $112,766.00 on February 06, 2026.

Customer alleges 2021 trading strategy and funding were not authorized

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

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Monheit (Monheit), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monheit 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 $112,766.00 on February 06, 2026.

Client alleged the representative misappropriated her non-qualified cash that was deposited into her discretionary fee-based managed wrap account by investing the cash into the market in September2021 without her authorization. On October 4, 2022, an additional allegation was received alleging the investments were not suitable.

There are Recent Customer Complaints with Broker William Brownlee in Firm Cetera Wealth Services, LLC

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Brownlee (Brownlee), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brownlee 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 $1,000,000.00 on September 24, 2020.

Claimant alleged the representative misrepresented the financial strength and viability of BLO Beauty Bar, a business the claimant purchased from the representative’s spouse. After purchasing, the claimant became sole owner and manager of the business and was responsible for the business’s success.

There are Recent Customer Complaints with Broker Jesse Raines in Firm Cetera Wealth Services, LLC

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Raines (Raines), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raines 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 October 05, 2020.

Clients allege they were not told about the surrender charges and the tax liability they would incur when they surrendered their contract in August 2020.