Investigation of Cetera Investment Services LLC Broker Doris Lau

Cetera Investment Services LLC

Cetera Investment Services LLC

Can I recover losses from investments with Cetera Investment Services LLC broker Doris Lau (CRD# 5750600) regarding real estate investment trust (REIT)? She has been registered with Cetera Investment Services LLC in Rowland Heights, California since 2013. 

Doris Lau Customer Complaints

She has been the subject of one customer complaint, according to her CRD report:

February 2022. “Client alleges she was not aware of the risks of the product.” The case is currently pending. The complaint was regarding REIT 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 Doris Lau’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.