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Crystal Qian Racks Up Second Investor Dispute Alleging Misrepresentation 

Jul 27, 2023 Misrepresentation

Crystal Qian (CRD #: 6155322), a broker registered with Cetera Investment Services, is involved in an investor dispute alleging she misrepresented an investment. This is according to her BrokerCheck record, accessed on July 21, 2023. Keep reading if you have questions about her conduct as a broker. 

On May 24, 2023, an investor alleged that Crystal Qian misrepresented an investment. This dispute is pending. 

There is a similar dispute from the previous year. On September 29, 2022, an investor alleged that Crystal Qian had misrepresented an investment as having a one-year maturity date and fixed interest with a principal return. This dispute was denied, but investors should know that firms can deny disputes without any external review. Following a denial, investors may still be able to recover their funds via FINRA arbitration

FINRA Rule 2020 – Misrepresentation

FINRA Rule 2020 prohibits the misrepresentation of securities. It also prohibits the omission of material facts such as an investment’s potential returns, risks, or limitations. 

Background Information 

Crystal Qian has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

She is a registered broker in 13 states and is a registered investment adviser in California. 

Prior to registering with Cetera, Crystal Qian registered with the following firms: 

  • AXA Advisors (CRD #: 6627) 
  • JP Morgan Securities (CRD #: 79) 

Kurta Law Can Help

If you worked with Crystal Qian and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.