Cetera Investment Services LLC (CRD#: 15340, Saint Cloud, Minnesota) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported, inter alia: eight regulatory events in regard to allegations of Cetera Investment Services’ violations of investment-related regulations or rules; and three FINRA arbitration awards against the firm for harming investors by way of the firm’s supervisory failures or sales practice violations. Additionally, several of Cetera Investment Services’ registered representatives, including Craig Allen Leppien, Eileen Rose Kanoski, and Heather Michelle Hennigh, have disclosed customer-initiated investment-related disputes that are pending a resolution or which have settled through customers’ being provided compensation.
Craig Allen Leppien (CRD#: 4394900, Traverse City, Michigan) is a past registered representative of Cetera Investment Services LLC. He worked at the firm from February 13, 2015 to June 4, 2018. Cetera Investment Services unveiled on Leppien’s FINRA BrokerCheck Report that a customer of his brought a complaint on April 24, 2018 in regard to Leppien’s alleged omissions. Specifically, the customer claimed that Leppien failed to disclose tax consequences for liquidating stock and corporate-debt investments from the customer’s brokerage account. Cetera Investment Services opted to settle the customer’s omissions allegations by paying the customer $37,500.00 on June 4, 2018. Leppien’s former employers include LPL Financial LLC and UVest Financial Services Group, Inc. On May 15, 2018, Leppien became a registered representative with Cambridge Investment Research, Inc. (Traverse City, Michigan).
Eileen Rose Kanoski (CRD#: 2574785, Mascoutah, Illinois) has been a Cetera Investment Services registered representative since January 22, 2015. She is located in the firm’s Mascoutah, Illinois and Clayton, Missouri offices. The FINRA BrokerCheck Report for Kanoski shows that a customer disputed Kanoski’s sales practices. Apparently, the customer filed a complaint with Cetera Investment Services on September 19, 2017. As stated in the complaint, Kanoski sold the customer market linked CDs that were unsuitable for the customer. On November 7, 2017, Cetera Investment Services agreed to settle the matter for $17,413.19 in damages. Kanoski’s past employers include Scotttrade, Inc. (December 2, 2003 to January 23, 2015) and A.G. Edwards & Sons, Inc. (April 24, 2001 to December 1, 2003).
Heather Michelle Hennigh (CRD#: 5670447, Katy, Texas) has been a registered representative with Cetera Investment Services LLC since July 24, 2017. She is located in the firm’s Katy, Texas and Nacogdoches, Texas offices. Hennigh disclosed on her FINRA BrokerCheck Report that several customers complained about her sales practices in the filing of FINRA Arbitration #18-00177. Supposedly, Hennigh failed to prevent the customers’ investment portfolios from collapsing. Apparently, Hennigh failed to mitigate the risks that the customers encountered while investing in corporate-debt investments. As a result, the customers have demanded $400,000.00 in damages. This arbitration is still awaiting a resolution. Before becoming employed at Cetera Investment Services, Hennigh worked at Raymond James Financial Services (December 5, 2016 to July 24, 2017) and Capital One Investing, LLC (January 2, 2015 to January 11, 2016).
Investors who have incurred losses from Cetera Investment Services, LLC brokers Craig Allen Leppien, Eileen Rose Kanoski, and Heather Michelle Hennigh can contact Soreide Law Group at (888) 760-6552 and consult with counsel regarding the possible recovery of investment losses. We represent clients nationwide against brokers and brokerage firms. You are only assessed a fee if we succeed in recovering for you.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
Phone:
Fax: 1-954-760-6553
Email: [email protected]