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Kwasi Aggor Formerly With TD Ameritrade Has A Customer Complaint For Alleged Broker Misconduct

Who is Kwasi Aggor formerly with TD Ameritrade?

Kwasi Aggor (CRD #4974222) who was formerly registered with TD Ameritrade and located in Providence, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations.

Kwasi Aggor has also been the subject of a FINRA investigation into whether he participated in private securities transactions with the customer conducted through and outside business that was not previously disclosed or approved by his member firm.  The FINRA requested that he appear and give on-the-record testimony and he refused.  Accordingly, he was permanently barred from any further association with any member firm in the securities industry in any capacity.

Kwasi Aggor Customer Complaint

Kwasi Aggor 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 claimant alleged that Kwasi Aggor misrepresented his qualifications and authority, and made unsuitable recommendations and transactions for claimants’ accounts, in violation of firm policy. The customer complaint filed against Kwasi Aggor’s former employer TD Ameritrade for investment losses caused by the alleged misconduct is pending as of the date of this report.

Kwasi Aggor Red Flags & Your Rights As An Investor

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

If you have questions about TD Ameritrade and/or Kwasi Aggor 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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