Articles Tagged with Alfred Chan

Alfred Chan, a former NI Advisors broker in Oakland, California has been sanctioned by the Financial Industry Regulatory Authority (FINRA). In March 2016, he allegedly sold index annuities valued at approximately $2.5 million through an outside business activity. He was discharged from Signator Investors, another former firm, following allegations he failed to follow firm policy regarding unapproved advertising materials, unapproved seminar activity and the sale of unapproved indexed annuities. He was registered with WMA Securities, Metropolitan Life Insurance Company, MetLife Securities, Pension Planners Securities, Financial Network Investment Corp, Associated Securities Corp, LPL Financial Corp, Signator Investors, and NI Advisors in Oakland, California from December 2013 until January 2016. He is not currently registered with any member firm. He has two customer disputes against him, one of which is currently pending. Please call our law offices today if you would like to speak to an attorney about your options of suing Alfred Chan in the FINRA arbitration claims forum on a contingency fee basis. The call is free.

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