Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yu Tang (Tang), previously associated with Globalink Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tang 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 $130,000.00 on April 11, 2023.
Client represented herself as a conservative investor and alleges that the municipal bond she purchased at the representative’s advice was unsuitable.