Cetera Investment Services LLC Tag Archives

Broker Nicholas Mcmahan in Cetera Investment Services LLC Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Nicholas Mcmahan (Mcmahan), 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), Mcmahan’s most recent customer complaint alleges that Mcmahan recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $18,588.00 on August 09, 2021.

Customer purchased non-principal protected structured notes in July, 2018. the notes matured in August, 2021. The structured notes had reached the principal barrier at maturity resulting in a loss to the customer. In a verbal complaint, the customer claims that the rep told him he would receive his money back at maturity. Though the file indicated the product had been appropriately disclosed to the customer at the time of purchase, the Firm determined to resolve the matter amicably.

There are Recent Customer Complaints with Broker Ching Yun Fang in Firm Cetera Investment Services LLC

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ching Yun Fang (Fang), previously associated with Cetera Investment Services LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Fang 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 $50,000.00 on September 28, 2021.

Claimant alleges that their registered representative made unsuitable investment recommendations.

Broker Dennis Reeve in Cetera Investment Services LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Reeve (Reeve), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reeve 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 $99,999.00 on October 04, 2021.

Claimant alleges their registered representative made unsuitable recommendations, misrepresented and omitted material information.

There are Recent Customer Complaints with Broker Kevin Mccoy in Firm Cetera Investment Services LLC

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 29, 2021.

Customer alleges unsuitable investment.

There are Recent Customer Complaints with Broker David Cohen in Firm Cetera Investment Services LLC

January 5, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Cohen (Cohen) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Cohen was employed by Cetera Investment Services LLC at the time of the activity. If you have been a victim of Cohen’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on November 03, 2025.

Clients allege misappropriation of funds.

Broker Steven Lovell in Cetera Investment Services LLC Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 01, 2025.

Client alleged misrepresentation with respect to 1035 annuity exchange recommended to them in 2023

Broker Christine Maushardt in Cetera Investment Services LLC Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Maushardt (Maushardt), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maushardt 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 $40,000.00 on October 01, 2025.

Customer alleges she was sold an annuity that was not in her best interest.

Broker Leo Chien in Cetera Investment Services LLC Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 17, 2025.

Claimant alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Doris Lau in Firm Cetera Investment Services LLC

December 7, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Rebecca Ng Tsang in Firm Cetera Investment Services LLC

November 30, 2025 | by Staff Attorney

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