The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Kwan-Rok Kong (CRD#5288982) regarding allegations made regarding the following:

Claim(s) Made Against Kwan-Rok Kong:

Claim Date: 3/16/2020

“The client alleged the advisor failed to follow trading instructions in March 2020 resulting in incorrect trade executions.”

This claim, as of this posting, is currently Closed-No Action with a claim amount of $73,870.18 .

See more information on FINRA’s BrokerCheck site for Kwan-Rok Kong.

Did you have a negative experience with Kwan-Rok Kong?

The Securities Lawyers are researching bringing claims on behalf of individual(s) and/or a group of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of these types of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” If you were a customer of Kwan-Rok Kong and AMERIPRISE FINANCIAL SERVICES, LLC and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.

If you are a former client of Kwan-Rok Kong and AMERIPRISE FINANCIAL SERVICES, LLC from Garden City, NY, and have encountered any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. want to speak with you about the possibility of pursuing a claim. Brokerage firms have a duty to oversee all of their registered representatives, including Kwan-Rok Kong, and ensure that they follow all securities regulations, rules, and internal policies. If a brokerage firm fails in this duty, it may be held accountable for investment losses sustained by customers due to a lack of supervision.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at to see if he can help recover your funds.