Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Burton (Burton), currently associated with Cetera Advisors LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Burton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on March 23, 2022.
In June 2021, Mr. Burton entered into an AWC with FINRA relating to the sale of certain variable annuities. Solely as a result of that, the State of Florida determined to suspend his insurance license for a three-month period.