Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lok Kei Kelvin Wong (Wong), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 July 26, 2022.
Claimant alleges they were over concentrated in unsuitable and illiquid alternative investments, which resulted in losses