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Robert Wong Suspended By FINRA For Allegedly Failing To Comply

Robert Wong (CRD #6441718), a former broker at Jefferies LLC, has been suspended by FINRA for allegedly failing to comply with an arbitration award, according to his BrokerCheck Record accessed on October 18, 2021. 

If you have any questions regarding Robert Wong’s conduct as a broker, keep reading.

Robert Wong FINRA Suspension

According to FINRA allegations, Robert Wong failed to comply with an arbitration award and to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. Robert Wong allegedly violated Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554. He was suspended indefinitely starting August 20, 2021.

The FINRA arbitration award found Robert Wong liable for $33,333 in compensatory damages. He is also liable for an interest rate of 9% per annum starting April 1, 2020, through the date the award is paid in full.

FINRA Rule 9554 states that a broker’s failure to comply with an arbitration award will result in the suspension or cancellation of their registration. Brokers are bound to comply with a FINRA arbitrator’s ruling and determination. The suspension will continue until Robert Wong makes the required payment.

You can access the full arbitration details here.

Robert Wong Background Information

Robert Wong has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 79 – Investment Banking Registered Representative Examination

Robert Wong has worked with the following firms:

  • Jefferies LLC (CRD#:2347)
  • Scott-Macon Securities, Inc. (CRD#:17406) 

Kurta Law Can Help 

If you suffered losses after working with Robert Wong, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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.

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