CETERA ADVISOR NETWORKS LLC Tag Archives

Broker Harold Puhl in Cetera Advisor Networks LLC Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harold Puhl (Puhl), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Puhl 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 $100,000.00 on May 24, 2024.

Claimant alleges they were recommended unsuitable investments.

Broker Joseph Hobbs in Cetera Advisor Networks LLC Firm Has Customer Complaint

April 30, 2025 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Michael Breard in Firm Cetera Advisor Networks LLC

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Breard (Breard), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Breard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 02, 2024.

Customer alleges that investments made in 2014 and 2015 were unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Michael Buonanno in Firm Cetera Advisor Networks LLC

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Buonanno (Buonanno), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buonanno 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 $1,000,000.00 on July 24, 2024.

Claimant alleges they were recommended unsuitable investments.

Broker George Purdy in Cetera Advisor Networks LLC Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Purdy (Purdy), currently associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Purdy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 07, 2025.

Client is claiming that wrong type of CD was purchased.

There are Recent Customer Complaints with Broker David Rhodes in Firm Cetera Advisor Networks LLC

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Rhodes (Rhodes), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhodes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 19, 2024.

Claimant alleges they were recommended unsuitable investments.

Broker Eliezer Rappaport in Cetera Advisor Networks LLC Firm Has Customer Complaint

April 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eliezer Rappaport (Rappaport), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one regulatory event, alleging that Rappaport recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 20, 2024.

A health insurance client used the agent’s residential address to enroll in a Maryland specific health insurance plan, with the approval of the agent to utilize his address although it was not the address of the out-of-state client.

There are Recent Customer Complaints with Broker Mark Zorn in Firm Cetera Advisor Networks LLC

April 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Zorn (Zorn), previously associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zorn 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 $5,000.00 on August 21, 2024.

Claimants allege the financial professional made an unsuitable recommendation.

Broker Matthew Stucke in Cetera Advisor Networks LLC Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stucke (Stucke), currently associated with Cetera Advisor Networks LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Stucke 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 $488,295.00 on February 21, 2025.

Verbal allegations that the financial professional recommended unsuitable and risky investments resulting in substantial loss.

Broker Brian Graham in Cetera Advisor Networks LLC Firm Has Customer Complaint

March 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Graham (Graham), previously associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Graham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 27, 2024.

Without admitting or denying the findings, Graham consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation of the allegations made in an amended Form U4 submitted by his member firm. The findings stated that the Form U4 disclosed that a customer alleged that Graham made unauthorized ATM withdrawals.