Cetera Investment Services LLC Tag Archives

Broker Robert Kelly in Cetera Investment Services LLC Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $6,500.00 on January 09, 2026.

Customer alleges unsuitable recommendations in a Structured Product.

There are Recent Customer Complaints with Broker Jeffrey Friedman in Firm Cetera Investment Services LLC

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Friedman (Friedman), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 February 23, 2021.

Claimant alleges that their request to liquidate was not made promptly

Broker Enric Sifa in Cetera Investment Services LLC Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enric Sifa (Sifa), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sifa 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 $16,000.00 on April 02, 2021.

Customer alleges that she was misled into purchasing a variable universal life insurance policy in June 2018 and requests a return of the premiums she paid.

Broker Jian Cheng Li in Cetera Investment Services LLC Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 09, 2021.

Claimants allege that their registered representative recommended unsuitable investments.

There are Recent Customer Complaints with Broker Jiaqi Chen in Firm Cetera Investment Services LLC

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jiaqi Chen (Chen), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 $221,000.00 on April 22, 2021.

Claimant alleges that their registered representative recommended unsuitable investment.

Broker Robin Platt in Cetera Investment Services LLC Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Platt (Platt), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Platt 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 $1,250,000.00 on May 04, 2021.

The customer alleges that the NorthStar annuities that were recommended for him in 2016 were unsuitable and that certain information regarding NorthStar’s products was misrepresented.

There are Recent Customer Complaints with Broker Johnson Andrews in Firm Cetera Investment Services LLC

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Johnson Andrews (Andrews), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Andrews 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 $300,000.00 on June 14, 2021.

The claimant alleges that she told a Rep to treat funds in her mother’s account as an inherited fund and invest speculatively for faster growth. Upon her mother’s passing, she assessed the investment returns and is unhappy with the investments chosen. Client alleges TIAA used the wrong date for the cost basis resulting in significant capital gains.

Broker Gihan Fernando in Cetera Investment Services LLC Firm Has Customer Complaint

February 7, 2026 | by Staff Attorney

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 settled customer complaint with a damage request of $67,000.00 on December 05, 2025.

Complainant alleges certain features of the product were misrepresented on or around February 2016.

Broker Michael Simon in Cetera Investment Services LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Simon (Simon), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simon 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 $10,127.76 on July 09, 2021.

The client alleged the contract was unsuitable based upon needs, annual fees weren’t fully disclosed and the surrender schedule wasn’t shared.

Broker John Massa in Cetera Investment Services LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 07, 2021.

Claimant alleges that their registered representative recommended unsuitable investments.