Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jian Cheng Li (Li), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 09, 2021.
Claimants allege that their registered representative recommended unsuitable investments.