David Cohen

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

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Cohen (Cohen), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Cohen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 03, 2026.

Without admitting or denying the findings, Cohen consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he converted or misappropriated customer funds.

There are Recent Customer Complaints with Broker David Cohen in Firm Craft Capital Management LLC

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Cohen (Cohen), currently associated with Craft Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cohen 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 $900,000.00 on October 20, 2020.

Alleges unsuitable trading between September 2012 to March 2016

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.