DID STEPHEN YAUMAN KWAN CAUSE YOU INVESTMENT LOSSES?
Stephen Kwan Of Madison Avenue Securities Has A Customer Complaint For Alleged Broker Misconduct
Who is Stephen Kwan of Madison Avenue Securities?
Stephen Kwan (CRD #3183681) who is currently registered with Madison Avenue Securities and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations.
Stephen Kwan Customer Complaint
Stephen Kwan 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 claimants alleged failure to conduct Due Diligence on several points, unsuitable recommendation, over concentration, misrepresentations and omissions in violation of Texas and FINRA regulations in the sale of GPB. Stephen Kwan’s customer complaint was settled in favor of the investors.
Stephen Kwan Red Flags & Your Rights As An Investor
Of course, Stephen 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 Stephen Kwan at Madison Avenue Securities on alert to review carefully the activity and performance of their accounts and question whether Stephen Kwan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities 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 Madison Avenue Securities Due To Stephen Kwan
If you have questions about Madison Avenue Securities and/or Stephen 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.