Gary William Holland, of Leominster, Massachusetts, a stockbroker registered with Cetera Advisor Networks LLC, is the subject of a customer initiated investment related complaint filed on September 5, 2023, in which the customer requested compensatory damages based upon allegations that Holland supposedly failed to follow instructions in connection with the sale of mutual funds when Holland was associated with Cetera Advisor Networks LLC.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Holland is referenced in four other customer initiated investment related disputes concerning Holland’s conduct while associated with securities broker dealers. On May 20, 2003, a customer filed an investment related complaint involving Holland’s conduct in which the customer requested $6,016.00 in damages based upon allegations that Holland omitted fees on mutual funds transactions during the period that Holland was associated with American Express Financial Advisors.
On November 18, 2004, another customer filed an investment related complaint involving Holland’s conduct in which the customer requested $156,065.85 in damages based upon allegations that Holland made unsuitable recommendations in variable universal life insurance policies when Holland was associated with American Express Financial Advisors Inc.
On November 1, 2005, another customer filed an investment related complaint involving Holland’s conduct in which the customer requested compensatory damages based upon allegations that Holland engaged in unsuitable trading in mutual funds and life insurance products, given the customer’s financial goals and objectives. The customer claimed that Holland did not proactively service their account during the time that account values were decreasing.
On June 20, 2011, another customer initiated investment related complaint involving Holland’s conduct was settled for $27,786.30 in damages based upon allegations that Holland wrongfully directed the proceeds of the customer’s deceased husband’s trust to variable annuities when Holland was associated with Ameriprise Financial Services Inc.
Holland has been associated with Cetera Advisor Networks LLC in Leominster, Massachusetts since June 9, 2021. He has been registered with Cetera Investment Advisers LLC in Leominster, Massachusetts since June 29, 2023. Previously, Holland was associated with Cetera Advisor Networks LLC in El Segundo, California from June 9, 2021, to June 29, 2023, and with Voya Financial Advisors Inc. in Leominster, Massachusetts from May 14, 2015, to June 9, 2021.
