Investors complained about securities broker Leo Li-Yuan Chien (CRD: 4169619, San Gabriel, California). Notably, the securities broker, who worked for Cetera Investment Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Cetera Investment Services LLC clients allege that Chien gave unsuitable advice. For more on these disclosures about Chien, see below.
Specifically, a Cetera Investment Services LLC client filed FINRA Arbitration: 21-01611 about Leo Chien. Namely, the client alleged that Chien made unsuitable recommendations. Because of this, the client allegedly sustained damages on direct investments (limited partnership interests and direct participation program interests) and real estate securities. Therefore, on August 24, 2022, Cetera Investment Services LLC settled this matter by paying the client $170,000 in damages.
Evidently, on April 22, 2022, a Cetera Investment Services LLC client filed FINRA Arbitration: 22-00789 about Leo Chien. Namely, the client alleged that Chien gave unsuitable advice. Because of this, the client allegedly sustained damages on real estate securities. Therefore, the client requested $100,000 in compensation from Cetera Investment Services LLC or Chien. Evidently, this arbitration is pending a resolution.
Also, a client of Cetera Investment Services LLC contested Leo Chien’s sales practices by filing FINRA Arbitration: 22-00579 on March 25, 2022. Allegedly, Chien provided unsuitable recommendations. It appears that Chien possibly caused the client to sustain damages on variable annuities and real estate investment trusts. Therefore, the client requested compensation from Cetera Investment Services LLC or Chien in the amount of up to $500,000. However, the securities firm denied the complaint.
Additionally, on August 9, 2011, a HSBC Securities (USA) Inc. client filed a complaint about Leo Chien. Namely, the client alleged that Chien provided misleading information to the client about a mutual fund recommendation. Because of this, the client allegedly sustained damages on mutual funds. Therefore, the client requested $7,500 in compensation from HSBC Securities (USA) Inc. or Chien. However, the securities firm denied this complaint.
Have you sustained damages because of Leo Chien? If you have, then reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group, who has effectively recovered losses for investors across the United States, represents clients on a contingency fee basis and will advance all costs. Please keep in mind that Chien and brokerage firms Chien worked for deny any and all allegations of sales practice violations.
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