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Investor Alleges Randy Chin Executed Unauthorized Trades

Randy Chin (CRD #: 4294433), a broker registered with Osaic Wealth, is the subject of an investor dispute, according to his BrokerCheck record, accessed on June 28, 2025. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On April 30, 2025, an investor alleged that Randy Chin executed unauthorized trades in 2022. This dispute is currently pending.

FINRA Rule 3260

FINRA Rule 3260 requires brokers to receive written authorization from their clients before engaging in discretionary trading. The firm must also approve the designation of an account as discretionary before this trading can occur.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Randy Chin has passed the following exams:

  • Investment Company Products/Variable Contracts Principal Examination – Series 26
  • Securities Industry Essentials Examination – SIE
  • Investment Company Products/Variable Contracts Representative Examination – Series 6
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

Randy Chin is a registered broker in 18 states and a registered investment adviser in Indiana and Texas.

He has also worked for Osaic FA (CRD#:3978) and The Lincoln National Life Insurance Company (CRD#:2580).

Kurta Law Can Help

If you worked with Randy Chin 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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