Cetera Investment Services LLC

There are Recent Customer Complaints with Broker Cindy Mo in Firm Cetera Investment Services LLC

March 16, 2025 | by Staff Attorney

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

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

The customer purchased a Prudential IUL policy based on representations that it included a no-lapse guarantee until age 120, but it was later discovered that the policy’s no-lapse guarantee only extended for 20 years, leading to dissatisfaction and the need to pursue a new policy with the desired terms.

Broker Gihan Fernando in Cetera Investment Services LLC Firm Has Customer Complaint

March 13, 2025 | 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 68 disclosable events. These events include 67 customer complaints, one tax lien, 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 $50,000.00 on October 09, 2024.

Complainant alleges that certain features of the product were misrepresented during sales process on or around August 2016.

There are Recent Customer Complaints with Broker Andrew Pandis in Firm Cetera Investment Services LLC

February 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Pandis (Pandis), currently associated with Cetera Investment Services LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Pandis 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 $260,000.00 on December 11, 2024.

Unsuitable recommendation and overconcentration of assets into a single highly-speculative alternative investment.

Broker David Sosa in Cetera Investment Services LLC Firm Has Customer Complaint

February 5, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker David Sosa (Sosa), 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), Sosa’s most recent customer complaint alleges that Sosa 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 on December 02, 2024.

Client states he did not authorize the purchase of structures products