MILPITAS, CALIFORNIA

 Have you lost money with financial advisor Daniel Tuan Kien Loy, formerly with Voya Financial Advisors in Milpitas, California?  We are looking into allegations made against Daniel Tuan Loy. Loy has been the subject of three customer complaints, one of which was made within the last year.  The recent complaint alleges unsuitable investments in real estate.  The real estate investments allegedly lost $150,000.

Daniel Tuan Loy was with Voya Financial Advisors from 2007 to September 2015.  He has also been with Independent Financial Group from September 2015 to the present.  He has worked at branch offices in Milpitas, California.  Loy also was “permitted to resign” from Voya Financial Advisors in 2015.

Brokerage firms like Voya Financial Advisors have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California.   Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Voya Financial Advisors.

Click here to view D. T. Loy BrokerCheck Report

If you lost money with Daniel Tuan Loy or Voya Financial Advisors, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.