Cetera Investment Services LLC Broker Dennis Herrera Investment Loss Options

Jeff Erez | | Unsuitable Investments
Aegis Capital Corp.

Erez Law is currently investigating Cetera Investment Services LLC broker Dennis Herrera (CRD# 4772997) regarding a pending customer dispute alleging unsuitable investment recommendations. He has been registered with Cetera Investment Services LLC in Westbury, New York, since 2019.

Dennis Herrera Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

May 2024: “Claimant alleges unsuitable investment recommendations which resulted in losses.” The case is currently pending. The complaint was regarding mutual fund losses.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Cetera Investment Services LLC may be liable for investment or other losses suffered by Dennis Herrera’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations, and institutions in claims against brokerage firms, banks, and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.