Cetera Investment Services LLC

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

September 8, 2025 | by Staff Attorney

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

Broker Juan Rascon in Cetera Investment Services LLC Firm Has Customer Complaint

September 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 07, 2025.

Claimant alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Juan Rascon in Firm Cetera Investment Services LLC

September 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Rascon (Rascon), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rascon 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 $1,000,000.00 on May 18, 2023.

Claimant inherited her father’s self-directed brokerage account. In 2015, claimant moved account to firm and pledged the assets to secure a line of credit with firm’s former affiliate bank. Said line of credit was in the name of claimant and her husband (who she has since divorced). Brokerage account was claimant’s sole property under Texas law. Claimant asserts that firm breached its fiduciary duty and failed to make suitable recommendations in allowing claimant to pledge her sole property assets against the joint debt and by allowing her to make equity investments in a self-directed account.

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

August 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 30, 2023.

Claimant alleges their registered rep misrepresented the investments

Broker Vic Leung in Cetera Investment Services LLC Firm Has Customer Complaint

August 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Client alleges that they were told investment time horizon was 1 year and guaranteed return of principal upon maturity.

Broker Amber Stoll in Cetera Investment Services LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amber Stoll (Stoll), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stoll 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 $1,000,000.00 on July 08, 2025.

Client alleges that the registered representative failed to act in his best interest in August 2021, related to the liquidation of a pension plan.

Broker Vanessa Sopke in Cetera Investment Services LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Vanessa Sopke (Sopke), previously 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), Sopke’s most recent customer complaint alleges that Sopke 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 $5,000.00 on July 23, 2025.

The clients allege misrepresentation in the purchase of two structured products.

There are Recent Customer Complaints with Broker Howard Jones in Firm Cetera Investment Services LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Jones (Jones), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $75,000.00 on September 29, 2022.

Claimant generally alleges suitability, misrepresentation, breach of contract, and failure to supervise.

Broker Leo Chien in Cetera Investment Services LLC Firm Has Customer Complaint

August 15, 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 on June 16, 2025.

Client alleges the representative told her the northstar healthcare income reit offered principal protection and a high interest rate. When she sold she received $9,090.00 from a purchase amount of $30,000.00.

There are Recent Customer Complaints with Broker William Hutchingson in Firm Cetera Investment Services LLC

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hutchingson (Hutchingson), currently associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hutchingson 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 27, 2023.

Claimant alleged the investment’s risks were misrepresented.