Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Loi (Loi), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Loi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 23, 2025.
CLIENT ALLEGES REP PROVIDED INCORRECT PRODUCT TERMS REGARDING THE BNP INVESTMENTS