Charles Kc Chan (CRD#2894827) and CETERA WEALTH SERVICES, LLC

There is a way to recover investment losses

The brokerage industry reports any customer complaints made against or involving a broker on their publicly available Brokercheck Report. These reports are essential for transparency in the financial industry.

The Securities Lawyers at Halling & Cayo, S.C. are currently investigating potential claims on behalf of investors. If you suffered losses related to securities recommended by this individual, we are interested in discussing your options.

Claim(s) Made Against Charles Kc Chan:

Claim Date: 2/23/2026

“Claimants allege unsuitable recommendations and excessive concentration risk.”

This claim, as of this posting, is currently Pending with a claim amount of $108,000.00 .

See more information on FINRA’s BrokerCheck site for Charles Kc Chan.

Did you have problems in an account managed by Charles Kc Chan?

If you had a negative experience or issue with Charles Kc Chan and CETERA WEALTH SERVICES, LLC from LEXINGTON, KY, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Charles Kc Chan, and ensure that they follow all securities rules and regulations and internal policies. Liability for the losses sustained by its customers extends to the Brokerage Firm that the broker was registered with at the time of the breach of his/her standard of care. (We explain in more detail in our video, Do you dare sue your broker?.)

The Securities Lawyers at Halling & Cayo S.C. bring claims on behalf of individual(s) and/or groups of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” (See our video, What are the steps of a FINRA Arbitration.) If you were a customer of Charles Kc Chan and CETERA WEALTH SERVICES, LLC and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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