Sean Pong, Formerly with U.S. Bancorp Investments, Barred from Securities Industry

LOS ALAMITOS, CALIFORNIA

Did you invest with stockbroker Sean Pong in Los Alamitos, California?  The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Sean Pong.  FINRA’s Disciplinary Database shows that in June 2023, Pong was barred from the securities industry by FINRA, because he failed to respond to an investigation.

In August 2021, Sean Pong was fired by U.S. Bancorp Investments regarding allegations that he failed to timely and accurately disclose an outside business activity pursuant to firm policy and FINRA Rule 3270.  That triggered an investigation by FINRA and Pong refused to respond to FINRA’s investigation.

According to BrokerCheck, Sean Pong had been with U.S. Bancorp Investments from October 2012 to August 2021.  He worked in Los Alamitos, California.  He has also been the subject of two customer complaints.

Licensed stockbrokers are obliged to follow FINRA Rule 8210, which requires brokers to cooperate in investigations.  Additionally, U.S. Bancorp Investments must adequately monitor the conduct of its advisors.  If it failed to adequately supervise Pong or other advisors, the firm could be responsible for financial losses.

Israels & Neuman is an investment fraud and securities arbitration law firm that has represented thousands of investors in the past, including in cases against U.S. Bancorp Investments.  We represent investors throughout the country, including in California.

View Pong, s BrokerCheck 6.8.23

View Pong, s FINRA AWC

If you lost money with Sean Pong or U.S. Bancorp Investments, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.