Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Brunette (Brunette), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brunette 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 $100,000.01 on July 01, 2020.
Claimant generally alleges unsuitability, due diligence, fraud and failure to supervise.