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.
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com