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Investor Alleges Warren Chang Committed Unauthorized Trading

Jun 21, 2022 Unauthorized Trading

Warren Chang (CRD #: 5783926), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly engaged in unauthorized trading, according to his BrokerCheck record, accessed on June 11, 2022. Read on to learn more about Warren Chang’s conduct as a broker.

Alleged Unauthorized Trading

In a dispute filed on April 25, 2022, an investor alleges Warren Chang engaged in unauthorized trading. This dispute is currently pending.

FINRA Rule 3260

FINRA Rule 3260 limits how brokers can exercise their trading discretion. They can only exercise discretionary power in accounts approved for discretionary trading by both their client and their firm.

Registration Denial by the State of Florida

On January 19, 2017, the State of Florida Office of Financial Regulation denied Warren Chang's registration due to his alleged failure to respond to a request for additional information and documentation needed to complete the application process.

Background Information

Warren Chang has passed the following exams:

  • Series 66 - Uniform Combined State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination

Warren Chang is a registered broker in 14 states and a registered investment adviser in California, Texas, and Washington.

Kurta Law Can Help

If you worked with Warren 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 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.