Securities broker Charles KC Chan (CRD: 2894827), of Lexington, Kentucky, is the subject of a client complaint involving possible investment losses, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chan worked for Avantax Investment Services from October 2, 1997, to September 5, 2025, and Avantax Advisory Services from July 29, 2024, to September 5, 2025. Since September 5, 2025, he has worked for Cetera Wealth Services and Cetera Investment Advisers. Here is what investors should know about the complaint.
According to FINRA BrokerCheck, a client complaint involving Charles Chan was received on February 23, 2026. The investors allege that Chan recommended unsuitable stock investments and left the account too heavily concentrated while he worked at Avantax Investment Services. They claim $108,000 in damages. The complaint is pending.
An investment recommendation may be unsuitable if a broker or financial advisor suggests an investment or strategy that does not reasonably fit a client’s financial situation or investment goals. Factors may include the client’s age, income, assets, investment objectives, risk tolerance, liquidity needs, tax situation, and investment time horizon. The investment or strategy itself, the amount invested, and the level of concentration can each create risks that do not fit the client’s circumstances.
Investors who believe they suffered investment losses because of Charles Chan can contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney about possible recovery. Soreide Law Group has recovered losses for investors throughout the United States. The firm works on a contingency fee basis and advances all costs. Chan and the brokerage firms he worked for deny accusations of sales practice violations.
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Adam T. Taff, also known as Adam Taff (CRD: 5933315), is a securities broker and financial advisor in Charlotte, North Carolina. He has been registered with MML Investors Services LLC as a broker since July 26, 2011, and as a financial advisor since November 30, 2012. Taff disclosed a client complaint involving alleged investment losses, […]
Investors might have sustained losses due to securities broker Donald Paul Robbins [CRD: 4364668, Waxhaw, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robbins has been registered with MML Investors Services LLC as a broker since April 8, 2016, and as a financial advisor since April 12, 2016. Keep reading […]
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