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William O’Brien Of Cetera Advisors LLC Has 2 Customer Complaints For Alleged Broker Misconduct

Who is William O’Brien Cetera Advisors LLC?

William O’Brien

William O’Brien (CRD #1075392) who is currently registered as a broker and investment adviser with Cetera Advisors LLC and located in Naples, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors LLC, William O’Brien was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

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William O’Brien Customer Complaints

William O’Brien has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was denied by Commonwealth Financial Network and the investor took no further action. The other customer complaint is pending against NYLife Securities in a FINRA arbitration proceeding.

Allegations Against William O’Brien

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

  • Misrepresentation of guarantees related to variable universal life insurance policy
  • Unsuitability of investments.

William O’Brien Red Flags & Your Rights As An Investor

Of course, William O’Brien 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 William O’Brien at Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether William O’Brien has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC also raises questions about the brokerage firm’s 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 William O’Brien

If you have questions about Cetera Advisors LLC and/or William O’Brien 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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