Cetera Investment Services LLC

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

January 5, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Cohen (Cohen) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Cohen was employed by Cetera Investment Services LLC at the time of the activity. If you have been a victim of Cohen’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on November 03, 2025.

Clients allege misappropriation of funds.

Broker Steven Lovell in Cetera Investment Services LLC Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 01, 2025.

Client alleged misrepresentation with respect to 1035 annuity exchange recommended to them in 2023

Broker Christine Maushardt in Cetera Investment Services LLC Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

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 $40,000.00 on October 01, 2025.

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

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

December 22, 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 one disclosable event. These events include one customer complaint, 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 September 17, 2025.

Claimant alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Doris Lau in Firm Cetera Investment Services LLC

December 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 17, 2022.

Client alleges she was not aware of the risks of the product.

There are Recent Customer Complaints with Broker Rebecca Ng Tsang in Firm Cetera Investment Services LLC

November 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2022.

Claimant alleges unsuitable investment recommendations that resulted in losses

Broker Jason Covington in Cetera Investment Services LLC Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Covington (Covington), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Covington 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 $12,256.00 on April 27, 2022.

?The client alleges the representative recommended an investment strategy that was not in her best interest, which created an unexpected tax liability of $12,256.00.

There are Recent Customer Complaints with Broker Chang Vung in Firm Cetera Investment Services LLC

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chang Vung (Vung), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vung 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 May 06, 2022.

Claimant alleges they were invested in unsuitable investments.

Broker Amy Webster in Cetera Investment Services LLC Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 24, 2025.

Client alleges the investment was misrepresented at the time of sale.

There are Recent Customer Complaints with Broker Nathan Cedarleaf in Firm Cetera Investment Services LLC

November 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $4,000,000.00 on July 13, 2022.

Cedarleaf was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract; negligent and reckless misrepresentation; breach of fiduciary duty or alternatively, aiding and abetting a breach of fiduciary duties; violation of Section 10(b)(5) of the Securities Act of 1934; and South Carolina Securities Act violations.