Investors reportedly complained about securities broker Lin Han (also known as Lilly Han) [CRD: 6781075, Dallas, Texas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Lin Han joined Landolt Securities Inc. on January 22, 2018, and TKC Wealth Management LLC on July 24, 2017. Keep reading to find out more about the disclosures involving Lin Han and potential risks to investors.
Evidently, a client filed a complaint about Lin Han. The client alleged that Han made negligent misrepresentations and breached her fiduciary duty. For this reason, the client allegedly experienced damages connected to direct investments. So, on May 27, 2025, Landolt Securities Inc. reported the matter as a pending complaint with alleged damages totaling $180,890.98.
A fiduciary duty is a legal obligation for brokers to act in the best interest of their clients. When it comes to direct investments, such as limited partnerships or private placements, a breach of fiduciary duty may involve recommending investments without proper due diligence, failing to disclose risks, or prioritizing commissions over client needs. These products are often illiquid and risky, making any failure to act responsibly particularly damaging to investors.
Do you need clarification on any investment losses relating to Lin Han? If so, contact Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney. For years, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm takes investor cases on a contingency fee basis and advances the costs. Han and brokerage firms Han worked for deny accusations of sales practice violations.
Summit Brokerage and Independent Financial Group each appear on a pending customer claim naming Gilbert Conrad (CRD 2746778). Both claims are unproven allegations. His BrokerCheck report also lists settled disputes at Arkadios Capital and Independent Financial Group.
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.
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