Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Filipovits (Filipovits), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Filipovits 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 $300,000.00 on September 16, 2021.
Claimant alleges that their registered representative recommended unsuitable, high-risk, and illiquid investments.