Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Benjamin Herritage (Herritage), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Herritage 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 $150,000.00 on October 13, 2021.
CUSTOMERS ALLEGE UNSUITABLE RECOMMENDATIONS, MISREPRESENTATIONS, OMISSION OF MATERIAL FACT AND FAILURE TO CONDUCT PROPER DUE DILIGENCE IN REGARDS TO TRANSACTIONS IN A NON-TRADED REIT.