Investors have reportedly disputed the sales practices of securities broker Patrick H. Siria (also known as Pat H. Siria) [CRD: 2561101, Lexington, Kentucky], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Siria worked for Cetera Investment Services LLC from June 20, 2019, to October 23, 2023. See below for details about Siria’s disclosures.
Evidently, a Cetera Investment Services LLC client filed FINRA Arbitration No. 24-01193 about Patrick Siria. Mainly, the client alleged that Siria made unsuitable recommendations. Because of this, the client allegedly sustained damages connected to variable annuities. Therefore, on June 20, 2025, Cetera Investment Services LLC settled this matter by paying the client $50,000 in damages.
Also, a client of Cetera Investment Services LLC contested Patrick Siria’s sales practices, according to a complaint dated April 20, 2021. Allegedly, Siria made unsuitable recommendations. It appears that Siria allegedly caused the investor to sustain damages relating to variable annuities. As a result, the client sought compensation from Cetera Investment Services LLC or Siria in the amount of $5,000 in this matter. However, the firm denied this complaint.
Do you have concerns or questions regarding investments you made with Patrick Siria? Contact Soreide Law Group at (888) 760-6552 or online and speak with a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Siria and brokerage firms Siria worked for deny accusations of sales practice violations.
Investors might have sustained losses due to securities broker William H. Grant [CRD: 4219455, Duluth, Georgia], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Grant has been registered with Merrill Lynch since October 23, 2009, as both a securities broker and financial advisor. Investors are encouraged to continue reading to find […]
Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]
Investors may have suffered financial harm by securities broker Dianna Sheryl Jeffries (also known as Dianna Sheryl Friedman) [CRD: 7348577, Cary, North Carolina], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffries was registered with WS Brokerage Services Inc. from January 19, 2023, through April 8, 2026. Investors should continue reading […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com