Last Updated: January 2025 (Dallas, TX)
TK Daniel Chen Investigation Summary
Here’s what you need to know about Dallas, TX, stockbroker Ting Kuo Chen:
- Name: TK Daniel Chen
- Current Employer: Landolt Securities, Inc.
- DBA: TKC Wealth Management
- Prior Employers: Richfield Orion International, Welborn Capital
- CRD Number: 2394916
- Function: Stockbroker / Financial Advisor
- Primary Location: Dallas, TX
- Aliases: TK Daniel Chen, Daniel Chen, Tingkuo Chen
- Can Ting Chen be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: No
- Discharged by a prior employer: Yes
- Pending Customer Dispute Seeks Damages of: $500,000
If you’ve sustained damages from Daniel Chen, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Daniel Chen As Your Stockbroker?
A customer of Landolt Securities, Inc., has filed a FINRA complaint alleging that Mr. Chen recommended an unsuitable investment in GWG L Bonds in November 2020. The complaint seeks $500,000 in damages and was filed on December 18, 2024, with FINRA (Case #24-02607). The customer alleges that the bond purchase was inappropriate given their financial circumstances.
How to recover losses on GWG Bonds-UPDATE
Overwhelmed by GWG Losses Some Broker Dealers Are Shutting Down
Allegations of Broker Misconduct Against Daniel Chen
Customers of TK Daniel Chen have alleged the following misconduct in connection with their accounts:
- Unsuitable Investment Recommendations:
The pending dispute claims that Mr. Chen failed to consider the customer’s financial goals and risk tolerance when recommending GWG L Bonds, potentially violating FINRA Rule 2111 on suitability. - Employment Termination Following Allegations:
Mr. Chen was discharged from JPMorgan Chase in 2011 after allegations of conducting business with clients in unapproved countries and maintaining pre-signed documents.
The Financial Industry Regulatory Authority (FINRA) requires brokers and brokerage firms to disclose disputes, regulatory actions, and relevant employment terminations.
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by TK Daniel Chen, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.