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Kwai Chan Of TD Ameritrade, TD Ameritrade Investment Management And Formerly With Scottrade and Scottrade Investment Management Has A Customer Complaint For Alleged Broker Misconduct

Who is Kwai Chan of TD Ameritrade?

Kwai Chan (CRD #4077468) who is currently registered with TD Ameritrade, TD Ameritrade Investment Management and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to TD Ameritrade and TD Ameritrade Investment Management, Kwai Chan was associated with Scottrade, Scottrade Investment Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Kwai Chan Customer Complaint

Kwai Chan 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 customer alleges that the representative failed to appropriately determine her risk tolerance, failed to warn her of the risks of short selling, and recommended unsuitable transactions. Kwai Chan’s customer complaint was denied and, to date, the customer has not taken any further action.

Kwai Chan Red Flags & Your Rights As An Investor

Of course, Kwai 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 Kwai Chan at TD Ameritrade, TD Ameritrade Investment Management, Scottrade, and Scottrade Investment Management on alert to review carefully the activity and performance of their accounts and question whether Kwai Chan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TD Ameritrade, TD Ameritrade Investment Management, Scottrade, and Scottrade Investment Management 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 TD Ameritrade Due To Kwai Chan

If you have questions about TD Ameritrade, TD Ameritrade Investment Management, Scottrade, Scottrade Investment Management, and/or Kwai 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.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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