National investment loss lawyers KlaymanToskes is investigating broker Joanna Wang of LPL Enterprise, LLC and formerly of Pruco Securities (CRD# 4056171).
According to FINRA BrokerCheck, Joanna Wang, a financial advisor with LPLEnterprise, and formerly with Pruco Securities is facing a pending customer complaint alleging $495,000 in investor damages due to unsuitable recommendations of non-traded REIT investments. The customer further alleges misleading and fraudulent communications, unauthorized solicitation, and selling away.
Investors that suffered losses with broker Joanna Wang are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
According to FINRA BrokerCheck, Joanna Wang is registered as a broker and investment advisor with LPL Enterprise, and was previously registered with Pruco Securities and Prudential Financial Planning Services until November 2024. Wang is currently involved in a customer complaint which alleges $495,000 in investor damages, in connection with misleading and fraudulent communications; unsuitable investment recommendations; unauthorized solicitation and selling away; failure to supervise and record keeping violations; undisclosed compensation and conflicts of interest; and violations related to non-traded REIT sales.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Joanna Wang, or have concerns regarding your investment portfolio at LPL Enterprise, Pruco Securities, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.