Were you the victim of Cetera Investment Services LLC broker Paul Fleming (CRD# 2036500)? He was registered with LPL Financial LLC in Fargo, North Dakota, from 2017 to 2022, and Cetera Investment Services LLC in Fargo, North Dakota, from 2015 to 2017.
Paul Fleming Customer Complaints
He has been the subject of two customer complaints in 2025, according to his CRD report:
December 2025. “Claimants allege unsuitable investment recommendations.” The customer is seeking $200,000 in damages, and the case is currently pending. The complaint was regarding real estate security losses, and it took place while he was registered with Cetera Investment Services LLC.
November 2025. “Customer alleges that certain alternative investments purchased for his account were unsuitable for the customer’s investment objectives and risk tolerance. The investment at issue was purchased at prior broker-dealer Cetera.” The customer is seeking $200,000 in damages, and the case is currently pending. The complaint was regarding real estate investment trusts (REITs), and it took place while he was registered with Cetera Investment Services LLC.
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 Paul Fleming’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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