Articles Tagged with Leo Chien

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

FINRA BrokerCheck shows a pending customer complaint on June 16, 2025.

Client alleges the representative told her the northstar healthcare income reit offered principal protection and a high interest rate. When she sold she received $9,090.00 from a purchase amount of $30,000.00.

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

FINRA BrokerCheck shows a pending customer complaint on June 16, 2025.

Client alleges the representative told her the northstar healthcare income reit offered principal protection and a high interest rate. When she sold she received $9,090.00 from a purchase amount of $30,000.00.

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

FINRA BrokerCheck shows a pending customer complaint on April 15, 2025.

Claimants allege unsuitable investment recommendations.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leo Chien (Chien), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chien 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 $1,054,759.37 on March 12, 2024.

Plaintiff alleges the proceeds from their investment were not received in their account.