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Sharon Kwan Of Globalink Securities, Inc. And Formerly With Royal Alliance Associates, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Sharon Kwan of Globalink Securities, Inc.?

Sharon Kwan

Sharon Kwan (CRD #2578627) who is currently registered as a broker with Globalink Securities, Inc. and located in Pasadena, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Globalink Securities, Inc., Sharon Kwan was associated with Royal Alliance Associates, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sharon Kwan has had her own regulatory problems. In 2017 she was suspended for 4 months and fined $15,000 by FINRA for allegedly participating in undisclosed outside business activities involving her member firm’s customers without providing prior written notice to the firm, as required.

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Sharon Kwan Customer Complaints

Sharon Kwan has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customer complaints were denied by her former employer and, to date, the customers have not taken any further action.

Allegations Against Sharon Kwan

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Misrepresentation in connection with the purchase of mutual funds.
  • Failure to disclose surrender fees for one variable annuity contract investment.
  • Failure to act in client’s best interest.

Sharon Kwan Red Flags & Your Rights As An Investor

Of course, Sharon Kwan 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 Sharon Kwan at Globalink Securities, Inc. and Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Sharon Kwan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Globalink Securities, Inc. and Royal Alliance Associates, 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.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Globalink Securities, Inc. Due To Sharon Kwan

If you have questions about Globalink Securities, Inc., Royal Alliance Associates, Inc. and/or Sharon Kwan 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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