Tag Archives: Kevin C. Yang

Morgan Stanley Broker Suspended For Unauthorized Trading

March 07, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Kevin C. Yang (also known as Chiagan K. Yang) of Pasadena California has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he executed unauthorized trades in a customer’s investment account. Letter of Acceptance Waiver and Consent No. 2017052993601 (Mar. […]

Read More »

Morgan Stanley Sued by Customer For Misrepresentation

Kevin C. Yang, of Pasadena, California, a stockbroker currently registered with Morgan Stanley Inc., has been named in a customer initiated investment related arbitration claim, which settled on December 18, 2016, for $57,500.00 in damages based upon allegations that Yang made misrepresentations to the customer and effected unsuitable structured transactions in the customer’s account. Financial […]

Read More »