Tag Archives: Cetera Investment Services LLC

Investors Accuse Cetera Of Unsuitable Recommendations

Xiangyu Yu Zhang of Arcadia, California, a stockbroker formerly registered with Cetera Investment Services LLC, is referenced in a customer initiated investment related complaint on August 6, 2021, where the customer sought compensatory damages founded upon allegations that Zhang provided unsuitable recommendations to the customer regarding real estate security investments while he was employed by […]

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Cetera Investment Services Stockbroker Accused Of Misrepresentation

October 08, 2021  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on Cetera Investment Services Stockbroker Accused Of Misrepresentation

John Charles Broughton of Johnston Rhode Island a stockbroker formerly registered with Cetera Investment Services LLC is the subject of a customer initiated investment related written complaint on July 16, 2020, where the customer sought compensatory damages based on accusations that Broughton made misrepresentations to them regarding the annuity that they purchased through Cetera Investment Services. […]

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Cetera Investment Services Accused Of Unsuitable REIT Sales

August 15, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Non-traded REITs   |   Comments Off on Cetera Investment Services Accused Of Unsuitable REIT Sales

Mark Angelo Senofonte of Edison New Jersey a stockbroker formerly registered with Cetera Investment Services LLC is referenced in a customer initiated investment related written complaint on February 13, 2021 where the customer sought more than $5,000.00 in damages founded on accusations that the customer was sold an unsuitable real estate investment trust given the […]

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Cetera Accused By Investors Of Misrepresentation

July 12, 2021  |   Posted by :   |   Investment and Regulatory News, Non-traded REITs   |   Comments Off on Cetera Accused By Investors Of Misrepresentation

Rebecca King Wah Ng-Tsang of Bellevue Washington a stockbroker currently registered with Cetera Investment Services LLC is the subject of a customer initiated investment related written complaint on December 9, 2020 in which the customer sought more than $5,000.00 in damages supported by allegations of misrepresentations by the stockbroker as it pertained to the liquidity […]

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Cetera Investment Services Stockbroker Accused Of Forgery

December 07, 2020  |   Posted by :   |   Elder Financial Abuse, Forgery, Investment and Regulatory News   |   Comments Off on Cetera Investment Services Stockbroker Accused Of Forgery

Clara Chen Tang (also known as Qing Chen) of Cupertino California a stockbroker formerly registered with Cetera Investment Services LLC is the subject of a customer initiated investment related written complaint on March 20, 2019 in which the customer requested unspecified compensatory damages supported by accusations that the customer’s signature had been forged on documents […]

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Investors Accuse Cetera Stockbroker Of Unauthorized Trading

August 27, 2020  |   Posted by :   |   Unauthorized Trading   |   Comments Off on Investors Accuse Cetera Stockbroker Of Unauthorized Trading

Craig Allen Leppien of Traverse City Michigan of Cetera Investment Services has been identified in a customer initiated investment related written complaint on April 16, 2019 in which the customer requested $41,338.66 in damages supported by allegations that the customer’s investment had been switched by Leppien without the customer’s consent during the time that Leppien […]

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Cetera Investment Services Sued By Investors For Fraud

May 13, 2020  |   Posted by :   |   Securities Fraud, Stockbroker Negligence   |   Comments Off on Cetera Investment Services Sued By Investors For Fraud

John Edward Massa of Staten Island New York a stockbroker associated with Cetera Investment Services has been referenced in a customer initiated investment related arbitration claim which was settled for $20,000.00 in damages supported by allegations including (1) negligence (2) breach of fiduciary duty (3) breach of contract and (4) fraud in violation of Securities […]

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Cetera Investment Services Accused Of Unauthorized Trading

January 09, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Craig Allen Leppien of Traverse City Michigan a stockbroker formerly registered with Cetera Investment Services LLC is referenced in a customer initiated investment related written complaint on April 16, 2019 where the customer requested $41,338.86 in damages based upon accusations that unauthorized transactions were executed by the stockbroker when he was associated with Cetera Investment […]

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Investors Accuse Cetera Of Unauthorized Trading

Joshua Jon Beitel of Traverse City Michigan a stockbroker formerly registered with Cetera Investment Services LLC is the subject of a customer initiated investment related written complaint on April 16, 2019 where the customer sought $41,338.86 in damages founded on accusations that the customer’s investments were modified without the customer’s knowledge or consent. Financial Industry […]

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Investors Accuse Cetera Of Misrepresentation

David Lee of Flushing New York a stockbroker formerly registered with Cetera Investment Services LLC is referenced in a customer initiated investment related complaint on September 12, 2018 in which the customer requested $15,000.00 in damages based upon accusations that (1) unwarranted investment losses were incurred by the customer on real estate security investments and […]

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Investors Accuse Cetera of Fraud And Misrepresentation

Mark Angelo Senofonte of Edison New Jersey a stockbroker currently registered with Cetera Investment Services LLC is the subject of a customer initiated investment related written complaint on June 12, 2018 where the customer requested $12,500.00 in damages supported by allegations that (1) unsuitable real estate security transactions were executed int the customer’s account (2) […]

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