Investors might have sustained losses due to securities broker David Nathan Cohen [CRD: 5083883, Yonkers, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Cohen worked for Cetera Investment Services LLC from June 20, 2019, to December 10, 2025. Investors should continue reviewing this information to learn more about the disclosures involving this securities broker.
Cetera Investor Accused Cohen Of Misappropriation
Notably, on November 3, 2025, a Cetera Investment Services LLC client filed a complaint about David Cohen. Mainly, the client alleged that Cohen misappropriated funds. Because of this, the client allegedly sustained damages related to stocks. Therefore, the client requested $5,000 or more in compensation from Cetera Investment Services LLC or Cohen.
David Cohen Discharged For Failure To Comply With Cetera’s Internal Probe
Particularly, Cetera Investment Services LLC disaffiliated with Cohen on December 9, 2025. Allegedly, Cohen was discharged after the firm determined he conducted securities business while suspended and did not cooperate with an internal firm review concerning allegations that investor funds were paid directly to him and then used to support his business activities.
Were You Impacted By Financial Advisor / Securities Broker Cohen?
Did you suffer any investment-related losses because of David Cohen? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Cohen and brokerage firms Cohen worked for deny allegations of sales practice violations.
