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Rebecca Ng-Tsang Formerly With Cetera Investment Services LLC Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Rebecca Ng-Tsang formerly with Cetera Investment Services LLC?

Rebecca Ng-Tsang

Rebecca Ng-Tsang (CRD #5578435) who was formerly registered as a broker with Cetera Investment Services LLC and located in Bellevue, Washington, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC, Rebecca Ng-Tsang was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Rebecca Ng-Tsang Customer Complaints

Rebecca Ng-Tsang has been the subject of 5 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by Cetera Investment Services in favor of the investor. Three of the other customer complaints were denied by Cetera Investment Services and no further action was taken by the customers. There is currently one FINRA arbitration proceeding pending against Cetera Investment Services for the adviser’s alleged misconduct.

Allegations Against Rebecca Ng-Tsang

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

  • Unsuitable investment recommendations related to annuity transactions.
  • Misrepresentation of REIT investment.
  • Misrepresentation in respect to risk and liquidity terms of REIT investment.

Rebecca Ng-Tsang Red Flags & Your Rights As An Investor

Of course, Rebecca Ng-Tsang 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 Rebecca Ng-Tsang at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Rebecca Ng-Tsang 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.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Cetera Investment Services LLC Due To Rebecca Ng-Tsang

If you have questions about Cetera Investment Services LLC and/or Rebecca Ng-Tsang 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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