ROB WILLIAM FRIEMOTH is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 5746 PARK CENTER COURT, TOLEDO, OH, 43615.
ROB WILLIAM FRIEMOTH has worked at CETERA ADVISORS LLC since September 04, 2007
Disclosure History
ROB WILLIAM FRIEMOTH has 3 Disclosure Event(s).
Date: April 06, 2010 Category: Regulatory Initiated By: OHIO DEPARTMENT OF COMMERCE - SECURITIES DIVISION Allegations: SUBJECT ACCEPTED FINRA FINDING THAT ALLEGED SUBJECT ENGAGED IN OUTSIDE BUSINESS ACTIVITIES FOR COMPENSATION AND FAILED TO GIVE PROMPT WRITTEN NOTICE TO HIS MEMBER FIRM. SUBJECT WAS SUSPENDED FROM ASSOCIATION WITH FINRA MEMBERS FOR SIXTY (60) DAYS AND FINED $5,000.00. Resolution: CONSENT & ORDER SanctionDetails: Sanctions: Suspension SanctionDetails:Registration Capacities Affected: ALL CAPACITIES Duration: SIXTY (60) DAYS Start Date: 4/5/2010 End Date: 6/4/2010
Date: March 12, 2010 Category: Regulatory
Date: August 01, 2007 Category: Employment Separation After Allegations Firm Name: NEW ENGLAND SECURITIES Termination Type: Discharged Allegations: REGISTERED REPRESENTATIVE SOLD BUSINESS OUTSIDE OF THE METLIFE GENERAL ENTERPRISE AGENCY AND DID NOT DISCLOSE TO THE FIRM AN OUTSIDE BUSINESS ACTIVITY. Broker Comment: I DID NOT DISCLOSE TO NEW ENGLAND SECURITIES THAT I WAS SUBMITTING OUTSIDE BUSINESS THAT FIT CLIENTS PLANNING NEEDS BETTER THEN WHAT METLIFE HAD TO OFFER. SOME CASES WERE DECLINED OR CAME BACK RATED POLICY WITH METLIFE SO I THEN SUBMITTED OUTSIDE TO TRY AND GET THE CLIENT BETTER RATING. SOME CASES METLIFE WASN'T COMPETITIVE PRICEWISE FOR THE CLIENT, WHERE OTHER CARRIERS WERE.
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