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Stanley Wong Faces Pending Customer Complaint

New York-based Investors Capital broker/adviser Stanley Wong is the subject of more than a dozen customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wong (CRD# 809384).

Stanley Wong has spent 40 years in the securities industry and has been registered with Investors Capital in Newburgh, New York since 2006. Previous registrations include Oppenheimer & Company in Fishkill, New York; Commerce Capital Markets in Philadelphia, Pennsylvania; Fahnestock & Company in New York, New York; Prudential Securities in New York, New York; and Merrill Lynch. He is a registered broker and investment adviser  with sixteen US states and territories.

According to his BrokerCheck report, Stanley Wong is the subject of 21 customer complaints and one pending customer complaint.

  • In 2015 a customer alleged Stanley Wong, while employed at Investors Capital, executed an unsuitable investment strategy. The customer is seeking $1,200,000 in damages in the pending complaint.
  • In 2004 a customer alleged Stanley Wong, while employed at Oppenheimer & Company, made unsuitable investment recommendations, breached his fiduciary duty, misrepresented material facts, and committed fraud. The complaint resulted in an award to the customer of $15,260.
  • In 1993 a customer alleged Wong, while employed at Prudential Securities, engaged in unspecified misconduct. The complaint settled for $24,884.
  • In 1993 a customer alleged Stanley Wong, while employed at Prudential Securities, engaged in unspecified misconduct. The complaint settled for $50,446.
  • In 1993 a customer alleged Stanley Wong, while employed at Prudential Securities, engaged in unspecified misconduct. The complaint settled for $39,258.
  • In 1993 a customer alleged Wong, while employed at Prudential Securities, engaged in unspecified misconduct. The complaint settled for $23,250.
  • In 1993 a customer alleged Stanley Wong, while employed at Prudential Securities, engaged in unspecified misconduct. The complaint settled for $16,766.
  • In 1993 a customer alleged Wong, while employed at Prudential Securities, engaged in unspecified misconduct. The complaint settled for $66,090.
  • In 1993 a customer alleged Stanley Wong, while employed at Prudential Securities, engaged in unspecified misconduct. The complaint settled for $24,070.
  • In 1993 a customer alleged Wong, while employed at Prudential Securities, engaged in unspecified misconduct. The complaint settled for $87,596.

If you have complaints regarding Stanley Wong, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

This information based on publicly available information provided by FINRA on March 28, 2016.