Phillip Leung Wong, of Wayland, Massachusetts, a stockbroker currently registered with Royal Alliance Associates, Inc., has been named in a customer initiated investment related written complaint on January 26, 2017, based upon allegations that Wong made unsuitable investment recommendations to the customer concerning exchange traded fund and stock transactions, which caused the customer to sustain investment losses.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on May 5, 2009, a customer filed an investment related written complaint involving Wong’s conduct, in which the customer requested $52,882.00 in damages based upon allegations that Wong made misrepresentations to the customer concerning the features of the customer’s investment account.
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