Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Arena (Arena), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arena recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on March 04, 2026.
Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentations, violation of finra rules, violation of the state and federal securities laws, and violation of the best interest obligations (reg b1).