Articles Tagged with Cetera Investment Services LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mei Guo (Guo), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guo 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 $500,000.00 on July 15, 2022.

Claimant alleges registered representative overconcentrated their portfolio in unsuitable investments that resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Warren Rogers Ii (Rogers Ii), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rogers Ii 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 $23,500.00 on October 13, 2022.

Customer’s daughter alleged bond was unsuitable given the maturity date.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adrian Holmes (Holmes), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 $8,199.00 on October 13, 2022.

The customer alleged RR Holmes mispresented the terms and conditions of the fixed annuity he purchased in or around September 2017 using proceeds from liquidated mutual funds. Specifically, the customer did not understand that the fixed annuity policy was not liquid.

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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 pending customer complaint with a damage request of $500,000.00 on August 11, 2025.

Client alleges misrepresentation and unsuitable advice during sales process on or around October 2015 – January 2017.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Steven Lovell (Lovell), 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), Lovell’s most recent customer complaint alleges that Lovell 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 $18,604.42 on December 22, 2022.

Client alleges surrender schedule and charges, in relation to her Equitable Structured Cap Strategies VA, were not disclosed at the time of purchase in August 2022.

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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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New York, NY 10017
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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