Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joey Ma (Ma), previously associated with Velox Clearing LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ma 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 $5,000.00 on September 04, 2020.
Claimant alleges the Registered Representative withdrew funds from his bank account for his personal use. Activity dates 2004 and 2019.