Td Ameritrade

There are Recent Customer Complaints with Broker Lok Kei Kelvin Wong in Firm Td Ameritrade, INC.

November 11, 2025 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Ushir Mehta in Firm Td Ameritrade, INC.

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ushir Mehta (Mehta), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mehta 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 $54,531.13 on August 22, 2022.

Client alleges representative did not disclose fees associated with an advised offering in 2013 and requested a refund of fees in the amount of $54,531.13

Broker Yee Chan in Td Ameritrade, INC. Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yee Chan (Chan), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $320,000.00 on September 26, 2023.

The client alleges in May 2023, the representative contacted the client and improperly solicited him to resume activities in the TD Ameritrade account.