According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Mo (Mo), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mo recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gihan Fernando (Fernando), currently associated with Cetera Investment Services LLC, has at least 68 disclosable events. These events include 67 customer complaints, one tax lien, alleging that Fernando recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Pandis (Pandis), currently associated with Cetera Investment Services LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Pandis recommended unsuitable investments in different investment products including debt securities among other…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker David Sosa (Sosa), currently employed by Cetera Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Sosa’s…