Investors potentially incurred losses because of securities broker Vanessa A. Sopke (also known as Vanessa A. Gerlach) [CRD: 4967464, Indianapolis, Indiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sopke worked for Cetera Investment Services LLC from October 1, 2015, to August 3, 2022. Keep reading to find out more […]

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 […]

Investors have reportedly disputed the sales practices of securities broker David Sosa [CRD: 2447013, Lake Mary, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Sosa has worked with Cetera Investment Services LLC since February 23, 2023, and Cetera Investment Advisers LLC since February 17, 2023. Continue reading to find out […]

Investors reportedly complained about securities broker Andrew Spiro Pandis [CRD: 2928410, Forest Hills, New York], according to disclosures on FINRA BrokerCheck. Evidently, Pandis worked for Cetera Investment Services LLC from December 1, 2017, to July 24, 2025. Read on to discover more about the disclosures involving Pandis. Essex National Securities LLC Investor Accused Pandis Of […]

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 […]