GORDON TONG QUAN (GORDON QUAN) CRD#: 1326425, was formerly associated with Cetera Advisor Networks in Pasadena, California. According to FINRA’s BrokerCheck, GORDON QUAN was discharged from Cetera Advisor Networks following allegations that, “Representative violated Firm policies related to lending money to a customer and outside business activities.” Currently Quan is not registered as a broker or financial advisor.
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, GORDON QUAN has 3 Disclosures on his CRD report. Two of the Disclosures are Customer Disputes and the third is an “Employment Separation After Allegations.”
In November of 2019, a Customer Dispute against Quan settled for $25,000.00, following allegations that, “Client alleges unsuitable recommendations.”
In March of 2007, a Customer Dispute against GORDON QUAN settled for $78,338.48. The allegations were that Quan participated in unspecified misconduct related to a family trust and an investment trust.
In May of 2018 he was discharged from Cetera Advisor Networks following allegations he loaned money to a client and participated in outside business activities.
GORDON QUAN was registered in the securities industry for 33 years and was listed with 2 firms, the most recent listed below:
07/15/1994 - 05/29/2018 CETERA ADVISOR NETWORKS LLC - PASADENA, CA
There are many forms of broker misconduct. Broker/dealers and financial advisors may place their clients into high-risk investments without making their clients aware of the risks associated with the investment. Some brokers may suggest investing in private businesses or unregistered securities. This can be devastating to an unsophisticated investor who relies upon their broker for investing advice. It is the broker’s obligation to make their clients aware of all risks of the investments they suggest.
If you or a family member have suffered losses due to the actions or recommendations of GODON QUAN, a broker formerly with Cetera Advisor Networks in Pasadena, California, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis—no fee to you if no recovery.
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