Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taek Chong (Chong), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chong 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 $73,814.52 on February 09, 2021.
Former FA charged commissions to client [REDACTED] Securities Trust Co., Ltd., in excess of the applicable rate using “dummy” confirmations.