Erez Law is currently investigating former Cetera Investment Services LLC broker Weina Hou (CRD# 5901613) regarding structured product losses. He has been registered with Ameriprise Financial Services, LLC in Redwood City, California, since 2025. He was registered with Cetera Investment Advisers LLC and Cetera Investment Services LLC in San Mateo, California, from 2018 to 2025, and Merrill Lynch, Pierce, Fenner & Smith Incorporated in Oakland, California, from 2014 to 2018.
Weina Hou Customer Complaints
He has been the subject of three customer complaints between 2022 and 2025, one of which was denied, according to his CRD report:
September 2025. “Claimants allege unsuitable investment recommendations.” The customer is seeking $700,000 in damages, and the case is currently pending. The case was settled for $92,500. The complaint was regarding structured product losses, and it took place while he was registered with Cetera Investment Services LLC.
May 2022. “Claimant alleges respondents sold claimant an unsuitable investment that was misrepresented.” The case was settled for $92,500. The complaint was regarding structured product losses, 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 Weina Hou’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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