Articles Tagged with Cetera Investment Services LLC

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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 March 17, 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 Raul Mendez (Mendez), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mendez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2013 was unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Colin Kelty (Kelty), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelty 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 $1,567,400.00 on May 15, 2024.

Claimant alleges unsuitable investment recommendations that resulted in losses.

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

FINRA BrokerCheck shows a pending customer complaint on May 30, 2024.

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 Catherine Bradford (Bradford), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 27, 2024.

Client alleges financial losses due to lack of credible advice causing delays in investing.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Siria (Siria), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Siria 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 $100,000.00 on June 03, 2024.

Claimant alleges unsuitable investment recommendations which resoluted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter 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 pending customer complaint on March 05, 2025.

Claimant alleges unsuitable investment recommendations.

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Smith (Smith), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $200,000.00  on August 22, 2024.

Claimant alleges unsuitable investment recommendations with resulted in losses.

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#1
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