Articles Tagged with Cetera Investment Services LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Doris Lau (Lau), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lau recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 17, 2022.

Client alleges she was not aware of the risks of the product.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Ng Tsang (Ng Tsang), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ng Tsang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 13, 2022.

Claimant alleges unsuitable investment recommendations that resulted in losses

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Covington (Covington), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Covington recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $12,256.00 on April 27, 2022.

?The client alleges the representative recommended an investment strategy that was not in her best interest, which created an unexpected tax liability of $12,256.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chang Vung (Vung), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vung recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on May 06, 2022.

Claimant alleges they were invested in unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Webster (Webster), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Webster recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 24, 2025.

Client alleges the investment was misrepresented at the time of sale.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Cedarleaf (Cedarleaf), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cedarleaf recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $4,000,000.00 on July 13, 2022.

Cedarleaf was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract; negligent and reckless misrepresentation; breach of fiduciary duty or alternatively, aiding and abetting a breach of fiduciary duties; violation of Section 10(b)(5) of the Securities Act of 1934; and South Carolina Securities Act violations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mei Guo (Guo), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on July 15, 2022.

Claimant alleges registered representative overconcentrated their portfolio in unsuitable investments that resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Warren Rogers Ii (Rogers Ii), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rogers Ii recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,500.00 on October 13, 2022.

Customer’s daughter alleged bond was unsuitable given the maturity date.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adrian Holmes (Holmes), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holmes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $8,199.00 on October 13, 2022.

The customer alleged RR Holmes mispresented the terms and conditions of the fixed annuity he purchased in or around September 2017 using proceeds from liquidated mutual funds. Specifically, the customer did not understand that the fixed annuity policy was not liquid.

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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 one disclosable event. These events include one customer complaint, alleging that Fernando recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on August 11, 2025.

Client alleges misrepresentation and unsuitable advice during sales process on or around October 2015 – January 2017.

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Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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