DID SEAN PONG CAUSE YOU INVESTMENT LOSSES?
Sean Pong Formerly With U.S. Bancorp Investments, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
About Sean Pong Formerly With U.S. Bancorp Investments, Inc.?
Sean Pong (CRD #2406530) has extensive experience in the securities industry but is not currently registered as a broker. His past registrations include prominent firms such as U.S. Bancorp Investments, Inc., J.P. Morgan Securities LLC, and Chase Investment Services Corp, with the most extended tenure at U.S. Bancorp Investments from October 2012 to September 2021. He is knowledgeable in various sectors, having passed three principal/supervisory exams, two general industry/product exams, and one multi-state securities law exam.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Sean Pong Customer Complaints and Reviews
- Regulatory Event (1 Incident):
- Details: On June 7, 2023, FINRA barred Pong for refusing to appear for testimony related to an investigation into his outside business activities. This action is final.
- Customer Disputes (2 Incidents):
- Forgery and Unauthorized Trades: Complaint filed on April 13, 2020, alleging unauthorized trades and misuse of $134,600 in retirement funds, which was denied on May 18, 2020.
- Misrepresentation: Complaint received on January 28, 2013, alleging misrepresentation of a mutual fund. This was also denied on February 4, 2013.
- Termination (1 Incident):
- Reason: Discharged on August 6, 2021, for failing to timely and accurately disclose outside business activities as per firm policy and FINRA Rule 3270.
Allegations Against Sean Pong
- Regulatory Actions:
- Refused to cooperate with FINRA’s investigation into his outside business activities, resulting in a permanent bar from the industry.
- Customer Complaint Allegations:
- Allegations of forgery, fraud, and conducting unauthorized trades resulting in significant financial loss.
- Claims of security fraud and misrepresentation concerning a mutual fund.
- Termination Related Allegations:
- Failure to disclose outside business activities in a timely and accurate manner as required by regulatory standards and firm policies.
Sean Pong Red Flags & Your Rights As An Investor
Of course, Sean Pong 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 Sean Pong at U.S. Bancorp Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Sean Pong has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at U.S. Bancorp Investments, Inc. 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.
Did You Lose Money Because of Broker Misconduct?
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 U.S. Bancorp Investments, Inc. Due To Sean Pong
If you have questions about U.S. Bancorp Investments, Inc. and/or Sean Pong 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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