Investors possibly experienced losses because of securities broker Yong Seok Chang [CRD: 4440739, Seattle, Washington], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chang joined Independent Financial Group LLC on October 27, 2008. Keep reading to learn more about Chang’s disclosures.
Particularly, on November 20, 2023, an Independent Financial Group LLC client filed FINRA Arbitration No. 23-03302 about Yong Chang. Supposedly, Chang made unsuitable recommendations. Because of this, the client allegedly sustained damages on non-traded REITs. As a result, the client requested $45,000 in compensation from Independent Financial Group LLC or Chang. Currently, this arbitration is unresolved.
Also, a client of Independent Financial Group LLC contested Yong Chang’s sales practices by filing FINRA Arbitration No. 23-02843 on October 12, 2023. Allegedly, Chang gave unsuitable advice about structured products. Therefore, the client seeks damages from Independent Financial Group LLC or Chang in the amount of $200,000 in this ongoing matter.
Additionally, on February 6, 2023, an Independent Financial Group LLC client filed FINRA Arbitration No. 23-00259 about Yong Chang. Mainly, the client alleged that Chang made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate investment trusts. For this reason, the client requested $25,000 in compensation from Independent Financial Group LLC or Chang. Evidently, this arbitration is pending a resolution.
Evidently, a client of Independent Financial Group LLC contested Yong Chang’s sales practices by filing FINRA Arbitration No. 21-02473. Allegedly, Chang made unsuitable recommendations and did not follow the client's investment instructions. Because of this, Independent Financial Group LLC opted to settle the matter on May 22, 2023, by compensating the client in the amount of $87,000.
Did you experience losses due to financial advisor / securities broker Yong Chang? You could reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group investment loss lawyers help individuals throughout the United States, work on a contingency fee basis, and advance all costs. Chang and brokerage firms Chang worked for deny accusations of sales practice violations.
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