Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fei Wang (Wang), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wang 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 $75,000.00 on September 26, 2023.
Former client alleges sales practice violations including breach of fiduciary duty, misrepresentation, and failure to disclose. Client statement of claim wrongly asserts that representative solicited the sales at issue.