Bo Wang of Asbury New Jersey a stockbroker registered with TFS Securities Inc. has been discharged by the brokerage firm on March 14, 2018 based upon accusations that Wang (1) executed unauthorized trades in customer accounts and (2) distributed unapproved advertising materials to customers concerning real estate investment trusts and structured notes products and (3) solicited the purchase of investments without providing customers with prospectuses.
FINRA Public Disclosure additionally reveals that on November 10, 2009, a customer initiated investment related complaint regarding Wang’s activities was resolved for $8,586.02 in damages founded on allegations that while Wang was associated with Banc of America Investment Services, Inc., trades were placed in the customer’s account without the customer’s consent and inappropriate recommendations had been made to the customer concerning variable annuities issued by John Hancock.
Since April 16, 2018, Wang has been employed by NI Advisors.
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