Investors apparently complained about securities broker Joyce An Thomas (also known as Cho Ching An) [CRD: 2713664, Diamond Bar, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Thomas has worked for Independent Financial Group LLC since October 8, 2015. See below to find out more about the disclosures involving this securities broker.
Evidently, a Voya Financial Advisors client filed FINRA Arbitration No. 24-00196 about Joyce Thomas. Mainly, the client alleged that Thomas made unsuitable recommendations and misrepresented risks. For this reason, the client allegedly sustained damages linked to real estate securities. Therefore, on August 7, 2025, Voya Financial Advisors settled this matter by paying the client $19,864.50 in damages.
Notably, a client of Voya Financial Advisors contested Joyce Thomas’s sales practices by filing FINRA Arbitration No. 23-00131. Allegedly, Thomas recommended illiquid investments. It appears that Thomas allegedly caused the client to sustain damages connected to real estate investment trusts. Consequently, Voya Financial Advisors opted to settle the matter on January 29, 2024, by compensating the client in the amount of $40,000.
Particularly, a Voya Financial Advisors client filed FINRA Arbitration No. 21-01735 about Joyce Thomas. Primarily, the client alleged that Thomas made misrepresentations and recommended unsuitable alternative investments described as safe, guaranteed to pay income, and projected to generate profit when going public. Because of this, the client allegedly incurred damages on real estate securities and business development companies. As a result, on March 2, 2022, Voya Financial Advisors settled this matter by paying the client $50,000 in damages.
Also, a client of Voya Financial Advisors Inc. disputed Joyce Thomas’s sales practices by filing FINRA Arbitration No. 21-01681. Allegedly, Thomas made misrepresentations and recommended risky alternative investments. It appears that Thomas allegedly caused the investor to sustain damages associated with real estate securities. Therefore, Voya Financial Advisors Inc. opted to settle the matter on June 7, 2022, by compensating the client in the amount of $225,000.
Are you concerned regarding investments you made with Joyce Thomas? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Thomas and brokerage firms Thomas worked for deny allegations of sales practice violations.
On August 6, 2026, a customer filed a $400,000 FINRA arbitration naming Chad McQuade (CRD 5436281) and Northwestern Mutual. The claim involves outside, third-party real estate investments. It is pending, and McQuade disputes it in a written response.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
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