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Clara C. Tang Formerly with Cetera Investment Services, LLC Has 2 Customer Complaints for Alleged Broker Misconduct

Who is Clara C. Tang formerly with Cetera Investment Services, LLC?

Clara Tang (CRD #4852979) who was formerly registered with Cetera Investment Services, LLC and located in Cupertino, California is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Cetera Investment Services, LLC, Clara Tang was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Cetera Investment Services, LLC Broker Misconduct

In her career, Clara Tang has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. One of Clara Tang’s customer complaints was settled in favor of investors.  

The other customer complaint was recently denied by Cetera Investment Services, LLC, and, so far, the customer has not taken any further action.

Allegations Against Clara Tang

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • The client alleged that Clara Tang allowed another person to forge her signature transfer funds and purchase illiquid investment products in the account.
  • Claimants alleged unsuitable investment recommendations and breach of Clara Tang’s fiduciary duty, and elder financial abuse in connection with REIT and other business development company investments.

Clara Tang Red Flags & Your Rights as An Investor

Of course, Clara Tang did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Clara Tang at Cetera Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Clara Tang has engaged in any stockbroker misconduct that may have caused them investment losses.

There had been a large number of customer complaints at Cetera Investment Services, LLC which also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses at Cetera Investment Services LLC

If you have questions about Cetera Investment Services LLC and/or Clara Tang and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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