Last Updated: March 2025 | Miami, FL
David W. Sosa Investigation Summary
Here’s what you need to know about Miami, FL, stockbroker David Sosa:
- Name: Mr. David William Sosa
- Current Employer:
- Cetera Investment Advisers LLC– Since 10/04/2021
- Cetera Investment Services LLC– Since 09/29/2021
- Prior Employers:
- Wells Fargo Clearing Services, LLC (Miami, FL) (12/2018 – 09/2021)
- AXA Advisors, LLC (04/2017 – 07/2018)
- Function: Stockbroker / Financial Advisor
- Aliases: David Sosa
- Primary Location: Miami, FL
- CRD #: 6725101
- Can David Sosa be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Customer Disputes: 1 (Denied by firm)
- Financial Disclosure: 1 (Compromised Debt)
If you’ve sustained damages from Mr. Sosa, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With David Sosa As Your Stockbroker?
A customer of Cetera Investment Services LLC filed a written complaint alleging that the monthly payment amount for an investment was misrepresented and dropped significantly after 3-4 months. The client was dissatisfied with the investment’s performance and filed a claim with the company.
The company ‘denied’ the claim and apparently the customer did not pursue the matter further. See below for our advice if you have made a claim that was denied by your financial advisor’s firm.
Has Your Brokerage Firm “Denied” Your Claim for Damages Due to Stockbroker Malpractice?
It is quite common (and predictable as well) for brokerage firms to deny a customer’s complaint made directly to the company. Firms know that in many, if not most, instances telling the customer “we don’t think it’s our fault” will be the end to the problem.
Firms seldom, if ever, offer adequate resolution when a customer deals directly with the brokerage firm. In the unlikely event the firm does actually agree to discuss settlement, the firm will generally attempt to have you settle your case for a fraction of what it is worth.
If you think there is a problem with the way your account has been handled, or if you have had your claim “denied”, talk to an experienced securities attorney to learn your rights and to learn what the true value of your claim may be.
We do not charge to evaluate a case.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of Cetera Financial Brokers-Lawsuits, Arbitrations & Disputes
If you have suffered investment losses in an account handled by David Sosa, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.