Craig Blattner has been in the securities industry for 31 years most recently with Cetera Advisors LLC in Longwood, FL from September 2016 – February 2018. Previous registrations include Investors Capital Corp in Longwood, FL form May 2006 – October 2016. Mr. Blattner is no longer a registered stockbroker.
Blattner was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 15 business days following allegations that he settled a client complaint away from his member firm.
FINRA’s findings stated that the value of a joint account of two clients served by Blattner allegedly declined by approximately $75,000. One of these clients complained, orally and in writing by e-mail, to Blattner about his management of their account and the losses they had suffered. Blattner did not disclose the client’s complaint to the firm, and that the complaint was never reported on his Form U4.