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.
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com