Investors possibly experienced losses because of securities broker Celeste Oi Ling Leung (also known as Celeste Ling Ho) [CRD: 4812260, Burlingame, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leung worked for Cambridge Investment Research Inc. from May 2, 2024, to June 5, 2024, Ameriprise Financial Services LLC from April 19, 2024, to May 9, 2024, and JP Morgan Securities LLC from August 27, 2015, to April 10, 2024. Continue reading to learn more about the disclosures concerning this broker.
Evidently, on March 14, 2024, JP Morgan Chase Bank N.A. disaffiliated with Leung. The company alleged that Leung engaged in conduct including the use of an unapproved method for communications with a client. Also, the firm alleged that she did not have documentation to support an annuity presentation.
Particularly, a client of JP Morgan Securities LLC contested Celeste Leung’s sales practices, according to a complaint dated November 9, 2023. Notably, the investor alleged misrepresentation regarding a variable annuity investment. Allegedly, Leung allegedly caused the client to sustain damages. Therefore, they sought damages from JP Morgan Securities LLC or Leung in the amount of $94,217.50 in this matter. However, the firm denied the complaint.
Specifically, a client of TD Ameritrade contested Celeste Leung’s sales practices by filing FINRA Arbitration No. 19-00718. Notably, the investor alleged unsuitable recommendations concerning investments in Aequitas. Consequently, TD Ameritrade opted to settle the matter on May 28, 2019, by compensating the client in the amount of $15,000.
Have you incurred losses because of Celeste Leung? If so, contact Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Leung and brokerage firms Leung worked for deny accusations of sales practice violations.
Investors might have sustained losses due to securities broker Bertram Courtney Johnson II [CRD: 6816674, Bloomfield Hills, Michigan], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Johnson worked for Merrill Lynch from September 18, 2024, to April 1, 2026, and previously worked for Hantz Financial Services Inc. from September 27, […]
Investors apparently complained about securities broker Michael David Kolacz (also known as Mike Kolacz) [CRD: 2566829, Rockwall, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kolacz has worked for Independent Financial Group LLC as both a broker and financial advisor since June 2023, and previously worked for International Assets Advisory LLC […]
Investors may have suffered financial harm by securities broker Mark Heath Woodward [CRD: 4064469, Tampa, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Woodward has been registered with Kestra Investment Services LLC since March 15, 2013, and with Kestra Advisory Services LLC since May 5, 2016. Read on to learn more about […]
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