DID KWAN-ROK KONG CAUSE YOU INVESTMENT LOSSES?
Kwan-Rok Kong Of Ameriprise Financial Services, LLC And Formerly With Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct
Who is Kwan-Rok Kong of Ameriprise Financial Services, LLC?
Kwan-Rok Kong (CRD #5288982) who is currently registered with Ameriprise Financial Services, LLC and located in Garden City, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Kwan-Rok Kong was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Kwan-Rok Kong Customer Complaints
Kwan-Rok Kong has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by Edward Jones in favor of the investor. The other 2 customer complaints were denied by Kwan-Rok Kong’s former employers and the customer has taken no further action so far.
Allegations Against Kwan-Rok Kong
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Failure to follow trading instructions resulting in incorrect trade executions.
- Misrepresentation with respect to replacement of a whole life insurance policy with Variable universal life insurance policies.
- Financial advisor liquidated her 2 annuities held outside the firm and failed to mention there would be a penalty because she was not 59 ½ years
Kwan-Rok Kong Red Flags & Your Rights As An Investor
Of course, Kwan-Rok Kong 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 Kwan-Rok Kong at Ameriprise Financial Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Kwan-Rok Kong has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Morgan Stanley 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?
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 Ameriprise Financial Services, LLC Due To Kwan-Rok Kong
If you have questions about Ameriprise Financial Services, LLC, Morgan Stanley and/or Kwan-Rok Kong 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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