David Sosa is the Subject of Investment Performance Allegations
David Sosa (CRD #: 6725101), a broker registered with Cetera Investment Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 7, 2024. Keep reading if you have questions regarding his alleged conduct.
Investor Allegations
On September 6, 2024, an investor alleged that David Sosa recommended an investment that suffered poor performance.
High Standards of Commercial Honor
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Investments with suffering performance may indicate a violation of this rule.
Background Information
David Sosa has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He is a registered broker in four states and is a registered investment adviser in Florida.
David Sosa has registered with the following firms:
- Cetera Investment Services (CRD #: 15340)
- Cetera Investment Advisers (CRD #: 105644)
- Wells Fargo Clearing Services (CRD #: 19616)
- AXA Advisors (CRD #: 6627)
Kurta Law Can Help
If you worked with David Sosa and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.