10.0David P Neuman
(720) 599-3505

WARNING! Impending Investigation: TAEK CHONG and JASON CHONG of Mercer Island, WA

Tag Archives: Mercer Island

02
Jul

WARNING! Impending Investigation: TAEK CHONG and JASON CHONG of Mercer Island, WA

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WARNING!  Impending Investigation:  TAEK CHONG and JASON CHONG of Mercer Island, WA

Taek Chong and Jason Chong, formerly of Raymond James Financial Services, Both Barred from Securities Industry by FINRA   Have you lost money with financial advisors Taek Chong and Jason Chong of Mercer Island, Washington?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Taek Man Chong and Jason Taek Chong.  ...

28
Aug

WARNING! Investigation of FAN K. YIP

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WARNING!  Investigation of FAN K. YIP

Fan Yip, formerly of Raymond James Financial Services, Suspended Six Months from Securities Industry   We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Fan K. Yip, from Mercer Island, Washington. FINRA suspended Yip from the securities industry for three months and fined him $5,000.  FINRA was investigating Yip to determine ...

18
Aug

UPDATE! CHRIS YOO SENTENCED TO 9 YEARS IN PRISON

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UPDATE!  CHRIS YOO SENTENCED TO 9 YEARS IN PRISON

Bellevue Investment Adviser Chris Yoo Sentenced to Nine Years in Prison   A Bellevue, Washington investment adviser named Chris Yoo faced a federal judge on August 17, 2017 regarding charges of fraud against him.  Yoo previously pleaded guilty to the charges on March 20, 2017 and appeared before Judge Thomas Zilly for a sentencing hearing ...

03
Aug

Ex-Sonics Trainer from Redmond Sentenced to Prison Term

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Ex-Sonics Trainer from Redmond Sentenced to Prison Term   Stephen B. Gordon, from Renton, was sentenced on July 30, 2015 for running a $4 million Ponzi Scheme.  According to an article by KOMO News, Gordon was sentenced to four years in prison for his involvement in running this scheme.  The U.S. Attorney’s office for the ...

04
Jun

SEC CONCLUDES CASE AGAINST FORMER SEATTLE INVESTMENT ADVISOR

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SEC Concludes Case Against Former Seattle Investment Advisor   The Securities and Exchange Commission (SEC) has recently finished its case against Mark F. Spangler, a former investment adviser from Seattle, and his company The Spangler Group, Inc.  The SEC reported that a final judgment was entered by the U.S. District Court for the Western District ...

21
May

FORMER SEATTLE INVESTMENT ADVISOR PLEADS GUILTY TO FRAUD

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Former Seattle Investment Advisor Pleads Guilty to Fraud Satyen Chatterjee, a former investment advisor from Seattle, recently pled guilty to wire fraud. According to the Sky Valley Chronicle and Seattle Times, Chatterjee pled guilty in the U.S. District Court in Seattle. Chatterjee owned and operated an investment advisory firm called Strategic Capital Management, Inc. It ...

18
May

SECURITIES AND INVESTMENT FRAUD ON THE EASTSIDE

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Securities and Investment Fraud on the Eastside   As most locals already know, the Eastside is a collective term for eastern suburbs of Seattle.  It is a great place to live with many amenities to offer local residents.  However, like many other areas of the country, the Eastside has also been hit with securities and ...

10.0David P Neuman

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