Tag Archives: Sharon Melinda Kwan

Investors Accuse Royal Alliance Of Misrepresentation

May 31, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Investors Accuse Royal Alliance Of Misrepresentation

Sharon Melinda Kwan (also known as Sharon Chen, Sharon Quan, My Mon Quan and as Mei Man Quan) of Arcadia California a stockbroker currently registered with Royal Alliance Associates is the subject of a customer initiated investment related written complaint on May 5, 2020 where the customer sought compensatory damages based upon accusations of misrepresentation […]

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NPC Stockbroker Suspended For Outside Business Activities

October 03, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Sharon Melinda Kwan, of Arcadia, California, a stockbroker formerly registered with National Planning Corporation, has been fined $15,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she engaged in outside business activities and established unapproved customer bank accounts. Letter […]

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