Mark Alan Mappa, Cetera Advisors LLC – Investor Alert & Review (Deerfield, IL 2025)
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Haselkorn & Thibaut, a national investment fraud law firm, has opened an investigation into Mark Alan Mappa, a financial advisor based in Deerfield, Illinois and currently affiliated with Cetera Advisors LLC and Cetera Investment Advisers LLC. If you invested with Mark Alan Mappa and experienced financial losses, understanding the advisor’s background, past client complaints, and professional conduct is essential. This research report will help you evaluate your options and determine whether your losses were the result of unsuitable recommendations or potential advisor misconduct.
Haselkorn & Thibaut have over 50 years of experience in securities law, a 98% success rate, and have recovered millions for clients nationwide. Free consultations are available at 1-888-994-8066. No recovery, no fee.
Who is Mark Alan Mappa?
- Name: Mark Alan Mappa
- CRD #: 1874503
- Location: Deerfield/Northbrook, Illinois
- Current Firms:
- Cetera Advisors LLC (General Securities Representative, registered since 12/10/2024)
- Cetera Investment Advisers LLC (Investment Adviser Representative, registered since 12/12/2024)
- Previous Firms (selected): Osaic Wealth, Inc.; Woodbury Financial Services, Inc.; NFP Advisor Services, LLC; Veravest Investments; Financial Network Investment Corp.; SunAmerica Securities, Inc.; Chubb Securities Corp.
- Additional Roles: President, Mappa Wealth Management; owner of real estate holdings; author; experience in insurance sales.
Summary of Qualifications
- SIE Exam (passed 2018)
- FINRA Series 7 (passed 1989)
- Series 63 (passed 1992)
- Series 65 (passed 1994)
- Licensed in numerous U.S. states and territories
To review Mark Alan Mappa’s official regulatory record, please visit FINRA BrokerCheck and enter CRD #1874503.
Detailed Disclosures and Complaints Involving Mark Alan Mappa (as of October 2025)
Investors should be aware of multiple customer disputes and settlements involving Mark Alan Mappa primarily relating to alternative investments, including oil & gas private placements and alleged suitability concerns. Here’s a clear summary of the pertinent public records and complaints:
| Disclosure Type | Date | Allegations | Status/Resolution |
|---|---|---|---|
| Customer Dispute (FINRA Case 22-01935) |
August 2022 | Failure to conduct adequate due diligence, unsuitable recommendation in oil & gas alternative investment | Settled for $50,000 |
| Customer Dispute (FINRA Case 22-02180) |
September 2022 | Breach of fiduciary duty, unsuitable recommendations, misrepresentation, and issues with firm supervision/training | Settled for $375,000 |
| Customer Dispute (FINRA Case 22-02921) |
December 2022 | Unsuitable recommendation in oil & gas private placement; inadequate due diligence | Settled for $40,000 |
- No current regulatory or SEC enforcement actions have been reported as of October 2025.
- No known bankruptcy or tax lien filings.
Common Allegations and Red Flags
- Unsuitable Investment Recommendations: Unsuitability is one of the leading causes of investor losses. Advisors must ensure that recommendations match a client’s risk tolerance and investment objectives.
- Breach of Fiduciary Duty: An advisor should always act in the client’s best interest. Cases against Mark Alan Mappa allege breaches of this core requirement.
- Misrepresentation or Omission of Material Facts: Failing to provide full, accurate information and risks about an investment can lead to significant client losses.
- Failure to Conduct Due Diligence: Especially for alternative and private placements such as oil & gas investments, thorough due diligence is required by both the advisor and the supervising firm.
- Supervisory Lapses: Previous client cases have also highlighted potential issues regarding the supervision and training at affiliated firms during his tenure’s relevant periods.
How to Evaluate Potential Recovery Options
If you lost money as a client of Mark Alan Mappa or Cetera Advisors LLC, you may be eligible to recover damages through FINRA arbitration. Even experienced investors can fall victim to unsuitable or risky recommendations—especially when involving alternative or private placement investments. Haselkorn & Thibaut have successfully represented thousands of investors in similar cases across the country.
- All consultations are free and confidential.
- Cases are accepted on a contingency-fee basis (no recovery, no fee).
- No action is required to simply speak with an attorney, and there is no cost or risk to you.
Steps to Take if You Have Concerns About Your Account
- Review your account statements and trade confirmations for unfamiliar, complex, or high-risk investments.
- Gather all correspondence and notes regarding your discussions with the advisor.
- List your investment dates, amounts, and losses in detail.
- Contact Haselkorn & Thibaut at 1-888-994-8066 for your free case review. Our team will conduct a confidential and comprehensive review of your situation.
Why Choose Haselkorn & Thibaut?
- National reach – representing investors in all 50 states
- Over 50 years combined securities law experience
- 98% success rate recovering losses
- Millions recovered for clients
- No fees unless you recover
If you are concerned about investments made with Mark Alan Mappa of Cetera Advisors LLC in Deerfield, IL, or have questions about losses in your portfolio, call Haselkorn & Thibaut at 1-888-994-8066 for your free case evaluation.
Our experienced attorneys can help you understand your rights and options. Act as soon as possible—deadlines (statutes of limitation) may apply to your case.
Your initial call is free, confidential, and there is no obligation. Find out if you can recover your investment losses today.
