Investors apparently complained about securities broker Rajeswaran Venkatraman (also known as Raj Venkatraman) [CRD: 1383008, Lisle, Illinois], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Raj Venkatraman has worked for Voya Financial Advisors Inc. since January 3, 2011. Investors should review the information below to find out more about disclosures involving this securities broker.
Evidently, a Voya Financial Advisors Inc. client filed FINRA Arbitration No. 24-00196 concerning Raj Venkatraman. Primarily, the client alleged that Venkatraman made misrepresentations and recommended alternative investment products that resulted in losses. For this reason, the client allegedly incurred damages involving real estate securities. Therefore, on August 7, 2025, Voya Financial Advisors Inc. settled this matter by paying the client $17,102.68 in damages.
Particularly, a client of Voya Financial Advisors Inc. contested Raj Venkatraman’s sales practices, according to a complaint dated March 18, 2021. Allegedly, Venkatraman made unsuitable recommendations. It appears that Venkatraman allegedly caused the client to incur damages linked to real estate securities. As a result, the client sought compensation from Voya Financial Advisors Inc. or Venkatraman in the amount of $39,439 in this matter. However, the firm denied this complaint.
Notably, on September 8, 2020, a Voya Financial Advisors Inc. client filed a complaint about Venkatraman. Mainly, the client alleged that Venkatraman made misrepresentations and made omissions. Because of this, the client allegedly sustained damages connected to closed end funds. Consequently, the client requested compensation from Voya Financial Advisors Inc. or Venkatraman. However, the firm denied this complaint.
Specifically, a client of Voya Financial Advisors Inc. disputed Venkatraman’s sales practices by filing FINRA Arbitration No. 19-03508. Allegedly, Venkatraman made unsuitable recommendations. It appears that Venkatraman caused the client to experience damages relating to real estate securities and direct investments. Therefore, Voya Financial Advisors Inc. opted to settle the matter on October 8, 2020, by compensating the client in the amount of $110,000.
Do you have concerns or questions regarding investments you made with Rajeswaran Venkatraman? Get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm represents investors on a contingency fee basis and advances all costs. Venkatraman and brokerage firms Venkatraman worked for deny accusations of sales practice violations.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com