Cetera Wealth Services

Broker Nathan Wells in Cetera Wealth Services, LLC Firm Has Customer Complaint

August 26, 2025 | by Staff Attorney

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.

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

August 22, 2025 | by Staff Attorney

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.

Broker Matthew Stucke in Cetera Wealth Services, LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Allan Rosen in Firm Cetera Wealth Services, LLC

August 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Rosen (Rosen), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosen 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 $904,030.00 on October 21, 2024.

Claimants allege that respondents should have blocked the duly authorized power of attorney/daughter of the deceased client from making excessive transfers to her mother’s like registered bank accounts from which the POA took alleged excessive withdrawals, including withdrawals for her mother’s health care.

There are Recent Customer Complaints with Broker Hongyan Lu in Firm Cetera Wealth Services, LLC

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hongyan Lu (Lu), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lu 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 $100,000.01 on May 14, 2025.

Claimant alleges unsuitable investment recommendations which resulted in losses.

Broker Matthew Metzger in Cetera Wealth Services, LLC Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 22, 2025.

Client alleged that certain features of the annuity product purchased in May of 2014 were misrepresented by the Representative.