Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Waters (Waters), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waters 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 $10,000.00 on April 21, 2020.
Misrepresentation and unauthorized trades which resulted in a decline of the portfolio value.