Brent Pine Allegedly Failed to Adequately Disclose Investments’ Risk

Brent Pine (CRD #: 1618007), a broker formerly registered with Cetera Advisor Networks, is the subject of an investor dispute, according to his BrokerCheck record, accessed on August 9, 2025. If you want to know more about his alleged conduct as a broker, keep reading.

Investor Dispute

On April 11, 2025, an investor alleged that Brent Pine made negligent investment recommendations that were not suitable for the client’s objectives of preserving their principal and avoiding risk. He allegedly also failed to provide fair and balanced disclosures concerning the riskiness of these investments.

The client seeks $250,000 in damages in this pending dispute. 

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take investors’ profiles into account when recommending investments. These profiles contain information such as investors’ tax status, age, risk tolerance, and financial goals.

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence investors’ decisions. This includes the misrepresentation or omission of material facts, such as an investment’s potential returns, expenses, risks, or requirements.

What is broker negligence?

Broker misconduct can take on many forms. Typical examples include misrepresentations or omissions of material fact, unsuitable investment recommendations, and unauthorized trading.

Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Background Information

Brent Pine has passed the following exams:

• General Securities Principal Examination – Series 24
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Direct Participation Programs Representative Examination – Series 22
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

He previously worked for the following firms:

• Cetera Advisor Networks (CRD#:13572) 
• Geneos Wealth Management (CRD#:120894) 
• SagePoint Financial (CRD#:133763) 
• SunAmerica Securities (CRD#:20068) 
• Washington Square Securities (CRD#:2882) 
• H.D. Vest Investment Securities (CRD#:13686) 
• CUSO Equities (CRD#:21033) 
• Lincoln Financial Advisors (CRD#:3978) 
• Lincoln National Pension Insurance Company (CRD#:10293)
• The Lincoln National Life Insurance Company (CRD#:2580) 
• H. C. Copeland and Associates Equities (CRD#:7447) 

Kurta Law Can Help

If you worked with Brent Pine and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.