Investors possibly experienced sales practice violations because of securities broker Hui Zhang (also known as Celia Zhang) [CRD: 5918387, San Gabriel, California], according to disclosures on FINRA BrokerCheck. Zhang worked for Cetera Investment Services LLC in Alhambra, California, from January 28, 2013, to March 6, 2020, and Cetera Investment Advisers LLC in San Marino, California, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Colin Christy Kelty (also known as Colin Kelty) [CRD: 5859007, Oakbrook, Illinois]. Colin Kelty has been registered with Cetera Investment Services LLC since December 6, 2011, and Cetera Investment Advisers LLC since January 21, 2014. Previously, Kelty worked for Vision Investment Services, Inc., from […]

Investors might have sustained losses due to securities broker Alexander Arango (also known as Alexander Arango Burakatskaya) [CRD: 6405666, Dania, Florida], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Arango joined Cetera Investment Services LLC on January 14, 2019. He worked at LPL Financial LLC from April 13, 2015, to December 3, […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have encountered financial setbacks potentially linked to the actions of securities broker Rebecca King Wah Ng-Tsang [CRD#: 5578435, Bellevue, Washington]. Ng-Tsang was previously affiliated with Cetera Investment Services LLC in Bellevue, Washington, from January 3, 2013, to November 11, 2021. This overview […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained losses due to securities broker and financial advisor, Yuting Cheng (Emily Cheng and Yu-Ting Cheng) [CRD#: 5719286, Arcadia, California]. Cheng has maintained registrations with Wells Fargo Clearing Services LLC since December 13, 2022. Other recent associations include BancWest Investment […]

Soreide Law Group is investigating possible investor claims against Mei Xia Guo (also known as Grace Guo) (CRD: 4201624, Monterey Park, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Investment Services LLC. Notably, one or more investors alleged misconduct in […]

Soreide Law Group is investigating possible investor claims against securities broker Joshua Aaron Green (also known as Josh Green) (CRD: 4970616, New Port Richey, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Investment Services LLC. Supposedly, one or more individuals […]

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. […]

Investors have come forward with complaints about Howard Hsieh (also known as Howard Hao-Chung Hsieh) (CRD: 4947882, Irvine, California). Particularly, the securities broker, who worked for Cetera Investment Services LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cetera Investment Services LLC clients allege that Hsieh made unsuitable recommendations. For more on […]