<![CDATA[Rockville - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/rockville/ Fri, 07 Nov 2025 18:41:37 GMT en-us <![CDATA[George N. Jing of TransAmerica Financial Barred by FINRA]]> https://www.israelsneuman.com/blog/george-n-jing-of-transamerica-financial-barred-by-finra/ https://www.israelsneuman.com/blog/george-n-jing-of-transamerica-financial-barred-by-finra/ Fri, 07 Nov 2025 18:41:36 GMT Allegations Against George N. Jing FINRA opened an investigation into George N. Jing after he was terminated by his former brokerage firm, TransAmerica Financial Advisors.  According to a regulatory document called a Form U-5, TransAmerica disclosed that Jing was discharged for his alleged participation “in an undisclosed outside business activity and/or an undisclosed private securities…

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FINRA opened an investigation into George N. Jing after he was terminated by his former brokerage firm, TransAmerica Financial Advisors.  According to a regulatory document called a Form U-5, TransAmerica disclosed that Jing was discharged for his alleged participation “in an undisclosed outside business activity and/or an undisclosed private securities transaction”.  Under FINRA Rules, brokers are required to disclose any business activity that they are involved in, if it potentially involves some kind of compensation.  The securities arbitration Law Firm of Israels & Neuman is looking into whether customers can recover their losses.

The Form U-5 filing by TransAmerica triggered an investigation by FINRA.  It is a violation of FINRA Rule 8210 to refuse to respond to or cooperate with a FINRA investigation.  Violations of FINRA Rule 8210 often result in suspensions or expulsions from the securities brokerage industry, and George Jing was barred by FINRA for this reason.

George Jing’s Industry History

George N. Jing was affiliated with TransAmerica Financial Advisors from 2012 to August 2025.  He has been in the securities industry since 1997 and worked in a Rockville, Maryland office.  He also ran a company called Jing Realty.

Potential Liability of TransAmerica Financial Advisors

Under FINRA Rules, broker-dealers like TransAmerica Financial Advisors must reasonably supervise the activities of their representatives.  If the firm did not adequately supervise Jing, it could be liable to its customers for any investor harm.

Israels & Neuman represents investors in Maryland who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of George Jing and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

]]> <![CDATA[LICKHAI KHAI QUACH of TransAmerica is BARRED]]> https://www.israelsneuman.com/blog/lickhai-quach-transamerica-barred/ https://www.israelsneuman.com/blog/lickhai-quach-transamerica-barred/ Wed, 09 Aug 2023 19:46:32 GMT Lickhai Quach, Formerly with TransAmerica Financial Advisors, Barred from Securities Industry ROCKVILLE, MARYLAND Have you invested with stockbroker Lickhai Khai Quach in Rockville, Maryland? Israels & Neuman is reviewing claims made against Lickhai Khai Quach. As of August 2023, FINRA’s Disciplinary Database shows that Quach was barred from the securities industry by FINRA. Khai Quach…

]]> Lickhai Quach, Formerly with TransAmerica Financial Advisors, Barred from Securities Industry

ROCKVILLE, MARYLAND Have you invested with stockbroker Lickhai Khai Quach in Rockville, Maryland? Israels & Neuman is reviewing claims made against Lickhai Khai Quach. As of August 2023, FINRA’s Disciplinary Database shows that Quach was barred from the securities industry by FINRA.

Khai Quach was barred because he did not respond to an investigation initiated by FINRA. The investigation started after Quach was fired by TransAmerica for borrowing money from a customer and then not paying it back. He then failed to respond to FINRA’s investigation after his termination.

Lickhai Khai Quach was licensed with TransAmerica Financial Advisors from January 2012 to March 2023. He worked in Rockville, Maryland. He has also been the subject of two customer complaints and two liens.

Our law firm that has represented over 1,000 investors in the past, including numerous investors in Maryland and Virginia.

View Quach, L. BrokerCheck 8.8.23 View Quach, L. FINRA AWC

If you lost money with Lickhai Quach, or TransAmerica Financial Advisors, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

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