Chiagan Kevin Yang (Kevin Yang) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating claims filed against stockbroker Kevin Yang.
In March 2018 Kevin Yang was suspended for 20 business days from practicing as a broker. Kevin Yang worked for Morgan Stanley in Pasadena, California from May 2010 to May 2017.
Yang was previously associated with Merrill Lynch, Pierce, Fenner & Smith.
FINRA alleges that Kevin Yang engaged in the following misconduct: exercising discretion in approximately 13 accounts of 9 different customers without prior written authorization in violation of NASD Rule 2510(b) and FINRA Rule 2010.
Yang was discharged by Morgan Stanley in April 2017. Customers previously made complaints against Yang relating to sales of structured products.
Kevin Yang has been the subject of at least 4 customer disputes.
If you invested money through Chiagan Kevin Yang, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.
Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.
Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.