DID KEVIN RYAN LAO CAUSE YOU INVESTMENT LOSSES?
Kevin Lao Formerly With TIAA-CREF Individual & Institutional Services And Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct
Who is Kevin Lao formerly with TIAA-CREF Individual & Institutional Services?
Kevin Lao (CRD #5569262) who was formerly registered with TIAA-CREF Individual & Institutional Services and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to TIAA-CREF Individual & Institutional Services, Kevin Lao was associated with Northwestern Mutual Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Kevin Lao Customer Complaint
Kevin Lao has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Kevin Lao failed to timely liquidate equity assets held in the client’s managed account which also held fixed income assets as Mr. Lao requested that a written and signed asset allocation change be processed in order to accomplish such a liquidation. Kevin Lao’s customer complaint was settled in favor of the investors.
Kevin Lao Red Flags & Your Rights As An Investor
Of course, Kevin Lao 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 Kevin Lao at TIAA-CREF Individual & Institutional Services and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Kevin Lao has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional Services and Northwestern Mutual Investment Services also raises questions about the brokerage firm’s 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 TIAA-CREF Individual & Institutional Services Due To Kevin Lao
If you have questions about TIAA-CREF Individual & Institutional Services, Northwestern Mutual Investment Services, and/or Kevin Lao 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.