Did you lose money investing with Cetera Advisors LLC broker James Witkowski (CRD# 4221931)? He has been registered with Cetera Advisors LLC in Liberty, Missouri, since 2009, and Cetera Investment Advisers LLC in Liberty, Missouri, since 2024. He was registered with Cetera Advisors LLC in Greenwood Village, Illinois, from 2009 to 2024, and Edward Jones in Kansas City, Missouri, from 2002 to 2009, when he was terminated regarding, “Witkowski’s employment was terminated for unauthorized account activities and failing to report a client complaint to the firm. these issues were similar to compliance concerns involving Witkowski in 2006, whereby the firm had placed him on heightened supervision and he paid a fine in the amount of $2000.”
James Witkowski Customer Complaints
He has been the subject of two customer complaints between 2010 and 2025, one of which was denied, according to his CRD report:
November 2025. “Claimant generally alleges over-concentration, misrepresentation, suitability, and breach of fiduciary duty.” The customer is seeking $100,000 in damages, and the case is currently pending. The complaint was regarding real estate security losses, and it took place while he was registered with Cetera Advisors LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Cetera Advisors LLC may be liable for investment or other losses suffered by James Witkowski’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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