SCOTT TIMOTHY CAVEY is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 9290 W DODGE RD STE 200, OMAHA, NE, 68114.
SCOTT TIMOTHY CAVEY has worked at CETERA ADVISORS LLC since February 15, 2011
Disclosure History
SCOTT TIMOTHY CAVEY has 3 Disclosure Event(s).
Date: March 23, 2016 Category: Customer Dispute Allegations: the client alleges misrepresentations on surrender charges and maintenance fees as well as poor performance. Damage Amount Requested: $21,900.00 Broker Comment: I dispute the client allegations. Not only were all costs and fees discussed in detail prior to investment, allegations are materially false and incorrect.
Date: March 14, 2015 Category: Customer Dispute Allegations: UNSUITABLE INVESTMENTS.
Date: December 16, 2011 Category: Customer Dispute Allegations: THE CLIENT ALLEGES MISREPRESENTATION AND A LACK OF SUITABILITY IN CONNECTION WITH DIRECT PLACEMENT INVESTMENTS. Broker Comment: CLAIMANT'S CLAIMS, EACH AND ALL, WERE DENIED AND DISMISSED WITH PREJUDICE. THE PANEL FOUND NO WRONGDOING WITH RESPECT TO ANY ACTIVITIES.
More Information
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