Clients Seek $1 Million in Dispute with Nathan Cedarleaf

Nathan Cedarleaf (CRD #: 4341451), a broker registered with Cetera Investment Services, allegedly misrepresented stocks, according to his BrokerCheck record, accessed on September 25, 2022. Investors may have also worked with him through Cetera Investment Advisers. Keep reading if you want to know more about his conduct as a broker.

Investor Disputes

On August 10, 2022, two clients who are also Nathan Cedarleaf’s parents alleged that he made misrepresentations related to his recommendations of two stocks which led to losses. The clients seek $1 million in this pending dispute. 

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods of influencing the purchase and sale of securities. Misrepresenting the features of an investment, such as its limitations, requirements, or potential returns, violates this rule.

Termination from Fidelity Brokerage Services

On April 6, 2020, Nathan Cedarleaf was fired from Fidelity Brokerage Services following allegations concerning his conduct and judgment in executing transactions in his and family members’ accounts, including an allegation that he executed transactions using a family member/client’s credentials.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Nathan Cedarleaf has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination
• Series 26 – Investment Company Products/Variable Contracts Principal Examination

Nathan Cedarleaf is a registered broker in Georgia, Indiana, and Ohio. He is also a registered investment adviser in Ohio.

He has also worked for the following firms:

• Fidelity Personal and Workplace Advisors (CRD#:288590)
• Fidelity Brokerage Services (CRD#:7784)
• Strategic Advisers (CRD#:104555)
• The Huntington Investment Company (CRD#:16986)
• Raymond James Financial Services Advisors (CRD#:149018)
• Raymond James Financial Services (CRD#:6694)
• Natcity Investments (CRD#:17490)
• The Huntington Investment Company (CRD#:16986)
• Investors Brokerage Services (CRD#:4257)
• Aetna Investment Services (CRD#:34815)

Kurta Law Can Help

If you worked with Nathan Cedarleaf 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 and 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.