Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chi Mak (Mak), currently associated with Td Private Client Wealth LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mak recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on December 06, 2024.
Respondents took advantage of Claimant’s lack of sophistication and understanding, and sold Claimant high-commission, complex, long-term, and risky alternative investments.