DID ISAAC WING HON CHAN CAUSE YOU INVESTMENT LOSSES?
Isaac Chan of Cetera Investment Services LLC, Cetera Investment Advisers And Formerly With Merrill Lynch, Pierce, Fenner & Smith Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Isaac Chan of Cetera Investment Services LLC?
Isaac Chan (CRD #3040785) who is currently registered with Cetera Investment Services LLC, Cetera Investment Advisers and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC and Cetera Investment Advisers, Isaac Chan was associated with Merrill Lynch, Pierce, Fenner & Smith Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Isaac Chan Customer Complaints
Isaac Chan has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Isaac Chan’s customers’ complaints was denied and the customers did not take any further action. The other customer complaint was settled in favor of investors.
Allegations Against Isaac Chan
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Claimant alleges unsuitable investment recommendations made by Isaac Chan.
- The client is requesting the cancellation of an investment purchase allegedly made by Isaac Chan. The client alleges she does not understand the investment based upon an alleged language barrier.
Isaac Chan Red Flags & Your Rights As An Investor
Of course, Isaac Chan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Isaac Chan at Cetera Investment Services LLC, Cetera Investment Advisers and Merrill Lynch, Pierce, Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Isaac Chan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC, Cetera Investment Advisers and Merrill Lynch, Pierce, Fenner & Smith Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Cetera Investment Services LLC Due To Isaac Chan
If you have questions about Cetera Investment Services LLC, Cetera Investment Advisers, Merrill Lynch, Pierce, Fenner & Smith Inc., and/or Isaac Chan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.