Chi Mak Facing Essex National Securities Investor’s Misrepresentation Allegations

Investors reportedly complained about securities broker Chi Chui Mak [CRD: 5045071, Brooklyn, New York], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mak has worked with TD Private Client Wealth LLC since June 28, 2023, at both its New York, New York, and Brooklyn, New York, offices. Previously, Mak was employed by Infinex Investments Inc. in Flushing, New York, from October 3, 2018, to June 23, 2023. Keep reading to discover more about the disclosures involving Mak.

Essex National Securities LLC Investor Accused Mak Of Misrepresentation

Particularly, an Essex National Securities LLC client filed FINRA Arbitration No. 23-03367 about Chi Mak. The client alleged that Mak misrepresented risks of real estate securities. Consequently, the investor allegedly incurred damages. Therefore, on December 6, 2024, Essex National Securities LLC settled this matter by paying the client $55,000 in damages.

Chi Mak Disclosed Unsuitable Recommendations Allegations By Essex National Securities Inc. Client

Also, a client of Essex National Securities Inc. disputed Chi Mak’s sales practices by filing FINRA Arbitration No. 23-03254. Allegedly, Mak made unsuitable recommendations regarding real estate securities, resulting in damages. For this reason, Essex National Securities Inc. agreed to settle the matter on December 6, 2024, by paying $55,000.

Have You Made Investments Through Securities Broker Mak?

Do you have concerns or questions regarding investments you made with Chi Mak? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a possible recovery of your investment losses. Soreide Law Group helps to recover losses for clients throughout the USA. The firm also works on a contingency fee basis and advances all costs. Mak and brokerage firms Mak worked for deny all allegations of sales practice violations.