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Scott Oliphant Of Cetera Advisors LLC And Formerly With CFD Investments, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Scott Oliphant of Cetera Advisors LLC?

Scott Oliphant

Scott Oliphant (CRD #4551455) who is currently registered as a broker and investment adviser with Cetera Advisors LLC and located in Columbus, Indiana, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors LLC, Scott Oliphant was associated with CFD Investments, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Scott Oliphant Customer Complaints

Scott Oliphant has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was denied by CFD Investments and the investor has not yet taken any further action. The other customer complaint is still pending in a FINRA arbitration proceeding filed against CFD Investments.

Allegations Against Scott Oliphant

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows:

  • Unsuitable investment recommendation of REIT investment.
  • Overconcentration of client’s accounts assets in REIT investments.
  • Breach of fiduciary duty, negligence, negligent misrepresentation and common law fraud.
  • Misrepresentation and misleading statements related to guarantees of variable annuity contracts.

Scott Oliphant Red Flags & Your Rights As An Investor

Of course, Scott Oliphant did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Scott Oliphant at Cetera Advisors LLC and CFD Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Scott Oliphant has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC and CFD Investments, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Cetera Advisors LLC Due To Scott Oliphant

If you have questions about Cetera Advisors LLC, CFD Investments, Inc. and/or Scott Oliphant and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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