ROB WILLIAM FRIEMOTH

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.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for ROB WILLIAM FRIEMOTH, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.