Investors potentially incurred losses because of securities broker Ting Kuo Chen (also known as Daniel Chen and Tingkuo Chen) [CRD: 2394916, Dallas, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Chen worked for Landolt Securities Inc. beginning on November 17, 2017, and for TKC Wealth Management LLC beginning on January 19, 2012. See below to learn more about Chen’s disclosures.
Particularly, on August 28, 2025, a Landolt Securities Inc. client filed Civil Action No. DC-25-13958 about Ting Chen. Mainly, the client alleged that Chen engaged in negligence, misrepresentation, and breach of fiduciary duty relating to private placement investments. For this reason, the client allegedly incurred damages. Consequently, the client requested $1,180,140.98 in compensation from Landolt Securities Inc. or Chen. It appears that this civil suit is pending a resolution.
Notably, on December 18, 2024, a Landolt Securities Inc. client filed a complaint about Ting Chen. Primarily, the client alleged that Chen made unsuitable recommendations. Because of this, the client allegedly experienced damages connected to corporate bonds including GWG L Bonds. Therefore, the client requested $500,000 in compensation from Landolt Securities Inc. or Chen.
Specifically, a client of Chase Investment Services Corp. contested Chen’s sales practices by filing a written complaint on December 2, 2008. Allegedly, Chen made misrepresentations. It appears that Chen allegedly caused the investor to sustain damages associated with variable annuities. As a result, the client sought $28,716.56 in compensation from Chase Investment Services Corp. or Chen in this matter, which was later denied.
Do you need clarification on any investment losses relating to Ting Chen? If so, reach out to Soreide Law Group at (888) 760-6552 or online and speak with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm works on a contingency fee arrangement and advances all costs. Chen and brokerage firms Chen worked for deny allegations 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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