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Howard Hsieh Of Cetera Investment Services LLC Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Howard Hsieh of Cetera Investment Services LLC?

Howard Hsieh (CRD #4947882) who is currently registered with Cetera Investment Services LLC and located in Irving, California, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cetera Investment Services LLC, Howard Hsieh was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Howard Hsieh Customer Complaints

Howard Hsieh has been the subject of 7 customer complaints that we know about to recover investment losses. Three customer complaints were settled by Cetera Investment Services in favor of the investors. One customer complaint was denied by his employer, and today, the customer has not taken any further action. There are currently 3 pending arbitration proceeding filed against Cetera Investment Services for Howard Hsieh’s alleged misconduct.

Allegations Against Howard Hsieh

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

  • Unsuitable overconcentration of customers funds in alternative investments.
  • Unsuitable investment recommendation of REIT.
  • REIT investments were misrepresented. Breach of contract and warranties, violation of state securities statutes and customer protection statutes related to REIT investment.

Howard Hsieh Red Flags & Your Rights As An Investor

Of course, Howard Hsieh 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 which should put all current and former customers of Howard Hsieh at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Howard Hsieh has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC also raises questions about the brokerage firm’s 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 Due To Howard Hsieh

If you have questions about Cetera Investment Services LLC and/or Howard Hsieh 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.

Author Photo

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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