Investigation of Former Cetera Investment Services Broker Rebecca Ng-Tsang

Cetera Advisors LLC

Can I recover losses from investments with former Cetera Investment Services broker Rebecca Ng-Tsang (CRD# 5578435)? She was registered with Cetera Investment Services LLC in Bellevue, Washington, from 2013 to 2021. 

Rebecca Ng-Tsang Customer Complaints

She has been the subject of seven customer complaints between 2017 and 2023, five of which were denied, according to her CRD report. The most recent complaint was regarding: 

April 2022. “Claimant alleges unsuitable investment recommendations that resulted in losses.” The case is currently pending. The complaint was regarding fixed annuities, and it took place while he was registered with Cetera Investment Services.

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 may be liable for investment or other losses suffered by Rebecca Ng-Tsang’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.