Cetera Investment Services LLC Tag Archives

Broker Mona Fahmy in Cetera Investment Services LLC Firm Has Customer Complaint

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mona Fahmy (Fahmy), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fahmy 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 $45,000.00 on September 05, 2023.

Claimant’s purported attorney references amount invested in product.

Broker Fei Wang in Cetera Investment Services LLC Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fei Wang (Wang), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wang 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 $75,000.00 on September 26, 2023.

Former client alleges sales practice violations including breach of fiduciary duty, misrepresentation, and failure to disclose. Client statement of claim wrongly asserts that representative solicited the sales at issue.

There are Recent Customer Complaints with Broker Alexander Arango in Firm Cetera Investment Services LLC

July 3, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Alexander Arango (Arango), 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), Arango’s most recent customer complaint alleges that Arango 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 $600,000.00 on October 24, 2023.

Client alleges misrepresentation in the purchase of a Morgan Stanly Finance Structured Product.

Broker Trey Toifel in Cetera Investment Services LLC Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Trey Toifel (Toifel), 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), Toifel’s most recent customer complaint alleges that Toifel 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 on June 21, 2023.

Claimant alleges that their registered rep recommended overly concentrated unsuitable investments in structured products.

Broker Erik Larsen in Cetera Investment Services LLC Firm Has Customer Complaint

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Larsen (Larsen), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larsen 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 $182,000.00 on September 09, 2020.

CLAIMANT ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS.

Broker Anson Cheong in Cetera Investment Services LLC Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anson Cheong (Cheong), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cheong 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 $1,054,759.37 on March 12, 2024.

Plaintiff alleges the proceeds from their investment were not received in their account.

There are Recent Customer Complaints with Broker Leo Chien in Firm Cetera Investment Services LLC

May 28, 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 2 disclosable events. These events include 2 customer complaints, 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 with a damage request of $1,054,759.37 on March 12, 2024.

Plaintiff alleges the proceeds from their investment were not received in their account.

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

May 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Sosa (Sosa), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sosa 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 $98,500.00 on March 17, 2025.

Claimant alleges unsuitable investment recommendations which resulted in losses.

Broker Raul Mendez in Cetera Investment Services LLC Firm Has Customer Complaint

May 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2013 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Colin Kelty in Cetera Investment Services LLC Firm Has Customer Complaint

May 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Colin Kelty (Kelty), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelty 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 $1,567,400.00 on May 15, 2024.

Claimant alleges unsuitable investment recommendations that resulted in losses.