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Former TD Ameritrade, Inc. Broker Kwasi Aggor Investment Loss Options

Posted on Tuesday, January 26th, 2021 at 7:10 pm    

TD Ameritrade Inc.

Were you the victim of former TD Ameritrade, Inc. broker Kwasi Aggor (CRD# 4974222)? Aggor was registered with TD Ameritrade, Inc. in Providence, Rhode Island from 2008 to 2018.

In April 2020, FINRA barred Aggor after he, “consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony requested by FINRA in connection with its investigation of his suspected participation in private securities transactions with a customer conducted through an outside business that was not previously disclosed to his member firm.”

Aggor has been the subject of one customer complaint in 2020, according to his CRD report:

April 2020. “Claimant alleges that RR misrepresented his qualifications and authority, and made unsuitable recommendations and transactions for Claimants’s accounts, in violation of firm policy.” The customer is seeking $10,000,000 in damages and the case is currently pending. The complaint was regarding options and took place while Aggor was registered with TD Ameritrade, Inc.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, TD Ameritrade, Inc. may be liable for investment or other losses suffered by Aggor’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.