Investors have reportedly disputed the sales practices of securities broker David Sosa [CRD: 2447013, Lake Mary, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Sosa has worked with Cetera Investment Services LLC since February 23, 2023, and Cetera Investment Advisers LLC since February 17, 2023. Continue reading to find out more about disclosures involving this individual.
Particularly, on July 21, 2025, a Cetera Investment Services LLC client filed FINRA Arbitration No. 25-01480 concerning David Sosa. Primarily, the client alleged that Sosa made unsuitable recommendations. For this reason, the client allegedly experienced damages related to CDs. Therefore, the client requested $98,500 in compensation from Cetera Investment Services LLC or Sosa. It appears that this arbitration is pending a resolution.
Also, a client of Cetera Investment Services LLC contested Sosa’s sales practices, according to a complaint dated April 16, 2025. Allegedly, Sosa made misrepresentations. It appears that Sosa allegedly caused the client to incur damages involving structured products. As a result, the client sought compensation from Cetera Investment Services LLC or Sosa in this matter, although the complaint was later denied with no action taken.
Evidently, on February 13, 2025, a Cetera Investment Services LLC client filed a complaint about David Sosa. Mainly, the client alleged that Sosa made misrepresentations and made unsuitable recommendations. Because of this, the client allegedly incurred damages linked to structured products. Consequently, the client requested compensation of $5,000 or more in damages from Cetera Investment Services LLC or Sosa. The complaint was denied on February 25, 2025.
Specifically, a client filed a complaint about David Sosa. Primarily, the client alleged that Sosa made misrepresentations. For this reason, the client allegedly sustained damages relating to structured products. Therefore, on March 26, 2025, Cetera Investment Services LLC settled this matter by paying the client $18,397.08 in damages.
Do you have concerns or questions regarding investments you made with David Sosa? You can get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm takes cases on a contingency fee basis and advances all costs. Sosa and brokerage firms Sosa worked for deny accusations of sales practice violations.
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