Ting Xie O’Connor Facing New Allegations of Unsuitable Recommendations
Ting Xie O’Connor (CRD #: 3154358), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a new investor dispute, according to her BrokerCheck record, accessed on August 26, 2021.
On June 30, 2021, an investor alleged that Ting O’Connor recommended an unsuitable investment. FINRA defines unsuitable investments as investments that do not fit an investor’s financial goals, risk tolerance, and age.
There is a similar settled dispute on her record. On July 8, 2019, an investor alleged that Ting O’Connor misrepresented an investment and made an unsuitable recommendation. The dispute settled for $275,000.
Ting O’Connor Background Information
Ting O’Connor has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
She is a registered broker in 19 states and is a registered investment adviser in California and Texas.
Ting O’Connor has worked with the following firms:
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- Pyramid Financial Corp. (CRD #: 23181)
- Salomon Smith Barney (CRD #: 7059)
- Pruco Securities Corporation (CRD #: 5685)
Kurta Law Can Help
If you worked with Ting Xie O’Connor and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email firstname.lastname@example.org.