Articles Tagged with Cetera Investment Services LLC

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended a Real Estate Investment Trust that resulted in a substantial loss. Claimant further alleged that the Representative misrepresented the risks and potential for future income and growth.

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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 August 01, 2025.

Claimant alleges unsuitable investment recommendations which resulted in losses.

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

FINRA BrokerCheck shows a pending customer complaint on August 13, 2025.

Customer alleges unsuitable investment recommendations.

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

FINRA BrokerCheck shows a pending customer complaint on August 23, 2025.

CLIENT ALLEGES REP PROVIDED INCORRECT PRODUCT TERMS REGARDING THE BNP INVESTMENTS

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Thomas Brunt (Brunt), 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), Brunt’s most recent customer complaint alleges that Brunt 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 $60,000.00 on October 26, 2022.

Claimant alleges they were overconcentrated in unsuitable structured product which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sapphira Chow (Chow), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chow 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 November 17, 2022.

Claimants allege they were recommended to investment in unsuitable and misrepresented structure notes..

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Victor Furniss (Furniss), 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), Furniss’s most recent customer complaint alleges that Furniss 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 $100,000.00 on February 06, 2023.

Claimant alleges that their portfolio was overconcentrated in an unsuitable structured note and also that the risks and liquidity were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Fox (Fox), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 $40,000.00 on February 14, 2023.

Claimant alleges that Respondent’s registered representative failed to disclose market and tax risk.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Burkott (Burkott), currently associated with Cetera Financial Specialists LLC / Cetera Wealth Services, LLC / Cetera Investment Services LLC / Cetera Advisors LLC / Avantax Investment Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Burkott 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 $489,898.00 on April 03, 2023.

The statement of claim alleges that the representative failed his duty to maintain and enforce adequate supervisory system.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rory Pinsky (Pinsky), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pinsky 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 $26,000.00 on May 12, 2023.

Claimants allege that new account paperwork was completed without their authorization

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#1
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