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Last Updated: February 2025 (Dallas, TX)

National securities fraud lawyers at Patil Law P.C. are investigating current Landolt Securities broker Ting Kuo Chen (CRD #2394916) regarding allegations of unsuitable investment recommendations and a pending FINRA arbitration claim. The investigation stems from a recently filed customer complaint alleging significant losses from GWG L Bond investments.

Critical Insights About Dallas Financial Advisor Ting Kuo Chen

  • Advisor Name: Ting Kuo Chen
  • CRD: 2394916
  • Location: Dallas, TX
  • Current Employer: Landolt Securities, Inc.
  • Classification: Registered Representative & Investment Adviser Representative
  • Primary Location: 12900 Preston Road, Suite 700, Dallas, TX 75230
  • Can Ting Chen be sued in FINRA arbitration: Yes
  • Customer Disputes: Two disclosed complaints
  • Current Registrations: Licensed in 12 states
  • Years of Experience: Since 1993
  • Previous Employers: Richfield Orion International, Chase Investment Services
  • Professional Qualifications: Series 7, 63, 65 licenses, Certified Financial Planner
  • Business Name: TKC Wealth Management LLC
  • Current Status: Active with Landolt Securities

Details Of Current Investigation

A customer complaint filed in December 2024 alleges:

  • Unsuitable investment recommendations
  • $500,000 in GWG L Bond losses
  • Transactions occurring in November 2020
  • Pending FINRA arbitration (Case #24-02607)
  • Alleged violations of industry standards

Prior Regulatory History

Notable disclosure events include:

  • 2011 termination from JPMChase Bank for alleged policy violations
  • Prior customer complaint regarding variable annuity misrepresentation (denied)
  • Multiple broker-dealer changes between 2013-2017

Analysis Of Recent Misconduct Allegations

The pending arbitration raises serious concerns about:

  • Investment suitability standards
  • Due diligence procedures
  • Risk disclosure practices
  • Client risk tolerance assessment
  • High-yield bond recommendations
  • Supervision of complex products
  • Protection of client interests

Regulatory Framework And Investor Protection

SEC Regulation Best Interest requirements include:

  • Thorough suitability analysis
  • Full risk disclosure
  • Client best interest standard
  • Due diligence documentation
  • Reasonable basis for recommendations

Red Flags For Investors

  • Current pending arbitration
  • Prior termination history
  • Multiple firm changes
  • Complex product sales
  • High-risk bond losses
  • Suitability questions
  • Documentation concerns

Implications For Current And Former Clients

Current and former clients should:

  • Review all investment recommendations
  • Examine account documentation
  • Verify risk disclosures
  • Monitor account activity
  • Document communications
  • Assess portfolio suitability
  • Consider independent review

Contact Patil Law P.C. To Recover Your Investment Losses

If you have concerns about unsuitable investments or questionable recommendations from Mr. Chen, please contact Attorney Patil online or call (800) 950-6553 for a free initial consultation. Our securities fraud attorneys work on a contingency fee basis, meaning we only get paid if we help you recover money.

Author Photo

Chetan Patil

Chetan Patil is the founder and Managing Partner of the Patil Law. He brings over 15 years of extensive experience in diverse complex disputes and transactions, across the country. Mr. Patil specializes in litigations, trials, arbitrations, and appeals of complex securities, FINRA, financial and business disputes, with an emphasis in securities, financial services, and financial regulatory law.
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