Articles Tagged with Cetera Investment Services LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jefferson Campbell (Campbell), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $7,000.00 on January 11, 2021.

Clients allege that representative recommendations regarding retirement assets resulted in a $7,000 tax liability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marguerite Moisio (Moisio), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moisio 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 $12,000.00 on January 06, 2026.

Clients alleged they understood the advisory fees to be 1% for their three accounts; however, they were charged fees in excess of that amount from the inception of the accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Abaunza (Abaunza), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Abaunza 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 $12,000.00 on January 06, 2026.

Clients alleged they understood the advisory fees to be 1% for their three accounts; however, they were charged fees in excess of that amount from the inception of the accounts.

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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 $100,000.00 on January 22, 2026.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mengxuan Zhang (Zhang), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zhang 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 $2,500,000.00 on September 01, 2020.

Customer alleges they were sold an unsuitable product.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paige Matlock (Matlock), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Matlock 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 23, 2020.

Claimant alleges unsuitable investment recommendations.

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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.

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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

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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.

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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.

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New York, NY 10017
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