Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Ng Tsang (Ng Tsang), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ng Tsang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 13, 2022.
Claimant alleges unsuitable investment recommendations that resulted in losses