Tag Archives: Cetera Investment Services LLC

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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