DID MEI XIA GUO CAUSE YOU INVESTMENT LOSSES?
Mei Guo Of Cetera Investment Services LLC Has 3 Customer Complaints For Alleged Broker Misconduct
About Mei Guo Of Cetera Investment Services LLC?
Mei Guo (CRD #4201624) is currently registered with Cetera Investment Services LLC and Cetera Investment Advisers LLC in Monterey Park, California, since September 2017. Guo is licensed in four U.S. states and territories and is registered with one Self-Regulatory Organization. She has passed two general industry/product exams (Securities Industry Essentials and General Securities Representative Examination) and two multi- state securities law exams (Series 63 and Series 66). Her professional history includes previous registrations with LPL Financial LLC and other firms, indicating a diverse experience within the financial services industry.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Mei Guo Customer Complaints and Reviews
- Customer Disputes (2 Incidents)
- Overconcentration in Unsuitable Investments (Filed: July 15, 2022; Settled: May 12, 2023): The claimant alleged that Guo overconcentrated their portfolio in unsuitable real estate securities, leading to losses. The case was settled for $35,000, with no individual contribution from Guo.
- Recommendation of Unsuitable Investments (Filed: August 10, 2021; Settled: August 24, 2022): Claimants alleged that Guo recommended unsuitable investments in real estate securities. The dispute was settled for $80,000, also with no financial contribution from Guo.
Allegations Against Mei Guo
- Allegations in Customer Disputes:
- Overconcentration and Unsuitability: Allegations that Guo overconcentrated a client’s portfolio in real estate securities that were unsuitable, resulting in financial losses.
- Unsuitable Investment Recommendations: Similar allegations that Guo made recommendations for unsuitable investments, again pertaining to real estate securities, which also led to a financial settlement.
Mei Guo Red Flags & Your Rights As An Investor
Of course, Mei Guo did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mei Guo at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Mei Guo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Cetera Investment Services LLC Due To Mei Guo
If you have questions about Cetera Investment Services LLC and/or Mei Guo and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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