| Read Time: 2 minutes | Cetera Advisors Complaints | News & Articles |


Trey Toifel Of Cetera Investment Services LLC Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Trey Toifel of Cetera Investment Services LLC?

Trey Toifel

Trey Toifel (CRD #5830403) who is currently registered as a broker and investment adviser with Cetera Investment Services LLC and located in Mobile, Alabama is the subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC Trey Toifel was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Trey Toifel Customer Complaints

Trey Toifel has been the subject of 2 customer complaints that we know about seeking to recover investment losses. Cetera Investment Services recently denied one of the customer complaints and thus far, does not appear that the investor’s taking any further action. The other customer complaint filed against Cetera Investment Services for Andrew Toifel’s alleged misconduct is still pending in a FINRA arbitration proceeding.

Allegations Against Aubrey Lee, Jr.

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

  • The advisor recommended an overconcentration of unsuitable investments involving structured product notes.
  • Failure to disclose illiquidity of an investment (money would be tied up for 5 years) in structured products.

Trey Toifel Red Flags & Your Rights As An Investor

Of course, Trey Toifel 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 Trey Toifel at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Trey Toifel 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 firms’ 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 Trey Toifel

If you have questions about Cetera Investment Services LLC and/or Trey Toifel 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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars