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.
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Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]
Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]
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