Investors potentially experienced sales practice violations by securities broker Christopher J. Braccia (also known as Chris Braccia) [CRD: 3273855, Ridgefield, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Braccia has worked with Cetera Advisors LLC since September 8, 2022, and Cetera Investment Advisers LLC since November 12, 2020; previously, he was registered with First Allied Securities Inc. from December 9, 2008, to September 8, 2022, and First Allied Advisory Services Inc. from July 2, 2012, to November 12, 2020. Investors are encouraged to continue reading to discover more about Braccia’s disclosures.
Evidently, a Cetera client filed FINRA Arbitration No. 25-01578 about Christopher Braccia. Mainly, the client alleged that Braccia made misrepresentations, breached his fiduciary duty, failed to supervise certain representatives, and made unsuitable recommendations. For this reason, the client allegedly sustained damages linked to a non-traded business development company. Consequently, on October 2, 2025, Cetera settled this matter by paying the client $7,600 in damages.
Also, a client of Cetera contested Christopher Braccia’s sales practices, according to a complaint dated November 20, 2024. Allegedly, Braccia made misrepresentations. It appears that Braccia allegedly caused the client to sustain damages connected to asset-backed bonds. As a result, the client sought compensation from Cetera or Braccia in the amount of $6,386 in this matter.
Additionally, a Sands Brothers Co. Ltd. client filed NASD Arbitration No. 02-05071 about Christopher Braccia. Primarily, the client alleged that Braccia overconcentrated accounts, made omissions, engaged in excessive trading, and failed to diversify investments. Because of this, the client allegedly incurred damages related to mutual funds. Therefore, on March 15, 2004, Sands Brothers Co. Ltd. settled this matter by paying the client $15,000 in damages.
Did you experience losses because of Christopher Braccia? Contact Soreide Law Group at (888) 760-6552 or online and talk to a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the United States. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Braccia and brokerage firms Braccia worked for deny allegations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Mark Perry Kissinger [CRD: 4546631, Frisco, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kissinger worked for NYLIFE Securities LLC since November 27, 2018, and Eagle Strategies LLC since March 15, 2023. Read on for a better understanding about the disclosures involving this […]
Investors have reportedly disputed the sales practices of securities broker Robert Steven Wilkinson [CRD: 1180321, Oakland, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wilkinson worked for Western International Securities Inc. from November 26, 2013, to June 5, 2025, and later registered with LPL Financial LLC beginning June 5, […]
Financial Industry Regulatory Authority (FINRA) barred securities broker Lyhen Fiallo (also known as Lyhen Hernandez) [CRD: 4579582, Hialeah, Florida], based on public information located on FINRA BrokerCheck. Lyhen Fiallo worked for PFS Investments Inc. from April 24, 2020, to December 31, 2024. Investors are encouraged to continue reading to find out more about this broker’s […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com