Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ting Chen (Chen), currently associated with Landolt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Chen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on December 18, 2024.
Almost 3 years following GWG Holdings Inc. filing for Chapter 11 bankruptcy protection, the customer is now alleging that his L bond purchase from November 2020 was unsuitable
