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.
Cetera Investment Services LLC Investor Accused Pat Siria Of Unsuitable Recommendations
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.
Patrick Siria Disclosed Unsuitable Recommendations Allegations By Cetera Investment Services LLC Client
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.
Have You Made Investments Through Financial Advisor / Securities Broker Pat Siria?
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.
