Erez Law is currently investigating Cetera Investment Services LLC broker Charlotte McConnell (CRD# 1161160) regarding unsuitable investment recommendations related to real estate securities. She has been registered with Raymond James Financial Services, Inc. in Fort Collins, Colorado, since 2015. Previously, he was registered with Cetera Investment Services LLC and Cetera Investment Advisers LLC in Ft Collins, Colorado, from 2014 to 2015, and with Cetera Investment Services LLC in Fort Collins, Colorado, from 2012 to 2014.
Charlotte McConnell Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
November 2023. “Claimants allege unsuitable investment recommendations which resulted in losses.” The customer is seeking $300,000 in damages, and the case is currently pending. The complaint was regarding real estate security losses, and it took place while he was registered with Cetera Investment Services LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Cetera Investment Services LLC may be liable for investment or other losses suffered by Charlotte McConnell’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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