Cetera Advisors has been the subject of regulatory sanctions and customer complaints including:
- 2005, misrepresentation, suitability, failure to supervise, negligence, annuities, $125,000.02 ;
- 2012, breach of fiduciary duty, misrepresentation, suitability, failure to supervise, other types of securities, $111,000
- 2018, breach of fiduciary duty, misrepresentation, suitability, failure to supervise, REITs $43,500.01 (request award was $50,000)
- 1994, misrepresentation, failure to supervise, LPs, $66,812.17 (award granted in full)
If you are a customer of Cetera Advisors and have suffered losses in your account as a result of misconduct by Cetera or its brokers, you may have a claim to recover your losses. You can learn more about Investment Claims here. We are based out of Milwaukee, Wisconsin but have and can represent investors around the country to recover their lost investment funds.
“WE ONLY GET PAID IF WE WIN.THE SECURITIES LAWYERS
Our fee is a percentage of what we actually recover for you. There is no upfront fee.”
Your broker has a duty to only recommend investments that are appropriate for you. This is known in the industry as “suitability.” If your broker recommends investments that are not appropriate for you and you lose money as a result, you may have a claim to recover your losses.
For any client with a potential securities claim, we will provide:
- Free consultation to discuss and review your claim.
- An explanation of the time, commitment, and process for FINRA arbitration (the most common forum for these claims).
- WE ONLY GET PAID IF WE WIN. Our fee is a percentage of what we actually recover for you. There is no upfront fee.
We understand that by the time you realize what has happened in your account, the last thing you want to do is throw more money at a lawyer trying to recover what was lost. That is why we work on a contingent fee basis for these claims. This aligns our interests with yours, which is to resolve the matter as quickly as possible for as large of a recovery as possible.
“Atty. Sean Sweeney exhibited a youthful, energetic commitment to my position that was combined with a confident extremely competent grasp of the law in this area. I could not have come up with a better team of advocates at a time when they were needed the most.”— JIM T.