Tony Kang, of Northbrook, Illinois, a stockbroker formerly registered with Fifth Third Securities, Inc., has been named in a customer initiated investment related arbitration claim, which settled on September 24, 2015, for $10,000.00 in damages based upon allegations that Kang made unsuitable investment recommendations to the customer regarding a unit investment trust product.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also indicates that on February 23, 2014, a customer filed an investment related written complaint regarding Kang’s activities, where the customer requested $26,097.19 in damages supported by allegations that the customer’s unit investment trust purchases were induced by way of Kang’s misrepresentations. Moreover, on March 9, 2015, a customer initiated investment related written complaint involving Kang’s conduct was settled for $8,959.10 in damages based upon allegations that Kang made misrepresentations to the customer concerning two certificate of deposit investments.
Kang has been registered with National Securities Corporation since April 21, 2017.
Guiliano Law Group
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