Cetera Investment Services LLC

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.

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.