One or more investors possibly experienced losses because of securities broker Lanting Wei (also known as Katie Wei) [CRD: 6242083, Redwood City, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wei has worked for Ameriprise Financial Services LLC since February 26, 2025, and previously worked for Cetera Investment Advisers LLC from September 30, 2015, to November 21, 2024, as well as Cetera Investment Services LLC from June 5, 2015, to November 21, 2024. Keep reading to learn more about Wei’s disclosures, including pending and settled disputes with clients.
Notably, on February 27, 2025, a Cetera Investment Services LLC client filed FINRA Arbitration No. 25-00417 about Lanting Wei. Primarily, the client alleged that Wei made unsuitable recommendations. Because of this, the client allegedly sustained damages connected to real estate securities. Therefore, the client requested $300,000 in compensation from Cetera Investment Services LLC or Wei. This arbitration is pending a resolution.
Particularly, a client of Cetera Investment Services LLC contested Lanting Wei’s sales practices, based on a complaint. Allegedly, Wei forged the client’s signature and made omissions relating to an alleged unauthorized transaction. It appears that Wei caused the client to sustain damages linked to structured products. For this reason, Cetera Investment Services LLC opted to settle the matter on July 11, 2025, by paying $40,000.
Do you have concerns or questions regarding investments you made with Lanting Wei? You should contact Soreide Law Group online and consult with a securities lawyer concerning a potential recovery of your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the country. The firm also takes cases on a contingency fee basis and advances all costs. Wei and brokerage firms Wei worked for deny accusations of sales practice violations.
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.
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