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I'm Jeff Sonn, an attorney concentrating on securities fraud and consumer class actions. I use this blog to bring attention to regulatory filings involving financial advisors, current events in securities and cases in the financial services industry, and to help investors understand their rights and options for financial recovery. Questions? Contact me online or call anytime at 844-689-5754

Doris Lau, Broker with Cetera Investment Services, Facing Customer Dispute Unsuitable Investment Recommendations

INVESTORS: Cetera Investment Services broker Doris Lau is facing a pending customer dispute alleging unsuitable investment recommendations.

Doris Lau (CRD#: 5750600) is registered as a broker and investment adviser with Cetera Investment Services, where she’s been employed since 2013. Previously, Yacenda was registered as a broker and investment adviser with Merrill Lynch from 2011 until 2012.

Lau has one disclosure on her BrokerCheck report. 

February 2022 Customer Dispute

Status: Pending

Allegations: Client alleges she was not aware of the risks of the product.

If you have any information about Doris Lau that you would like to share or discuss, please call our firm for a confidential consultation. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.

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