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Investors Allege Harrison Chang Gave Unsuitable Investment Recommendations

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
September 10, 2025 at 8:47pm

Harrison Chang (CRD #: 4183646), a broker registered with Innovation Partners, allegedly recommended unsuitable investments, according to his BrokerCheck record, accessed on August 3, 2025. Investors may have also worked with him through IP Financial Advisory Services. Keep reading for more details about his alleged conduct as a broker.

Investor Disputes

Two disputes, filed on April 29, 2024, and April 14, 2025, respectively, alleged that Harrison Chang made misleading and unsuitable investment recommendations. These disputes were settled for a collective $470,000.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take into account investors’ financial goals when recommending investments. Brokers must consult the investor’s profile, which contains information about their tax status, age, and risk tolerance.

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulative, deceptive, or otherwise fraudulent tactics to influence investors’ decisions. Misrepresenting or omitting facts about an investment’s risks, fees, limitations, or other features violates this rule.

Background Information

Harrison Chang has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • National Commodity Futures Examination – Series 3
  • Uniform Securities Agent State Law Examination – Series 63
  • Uniform Combined State Law Examination – Series 66

Harrison Chang is a registered broker in California and Texas. He is also a registered investment adviser in California.

He has also worked for the following firms:

  • Western International Securities (CRD#:39262)
  • J.P. Morgan Securities (CRD#:79)
  • Key West Investments (CRD#:149418)
  • Citigroup Global Markets (CRD#:7059)
  • Prudential Equity Group (CRD#:7471)
  • Merrill Lynch Pierce Fenner & Smith (CRD#:7691) 

Kurta Law Can Help

If you worked with Harrison Chang 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 that 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. 

 

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