Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Hobbs (Hobbs), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hobbs 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 $235,000.00 on June 06, 2024.
Customer alleges representative failed to follow customer’s instruction and purchased a\, different product than requested. Activity period February 2021 to December 2023