Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lennard Van Der Feltz (Van Der Feltz), currently associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Van Der Feltz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 26, 2021.
Unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty and violation of the Arizona Consumer Fraud Act and Securities Act.