Earl Quon, formerly with MML Investors Services and Cetera Investment Services, Barred by FINRA
Have you lost money with financial advisor Earl Duke Quon? We are looking into allegations made about Earl Quon from Honolulu, Hawaii. FINRA (the Financial Industry Regulatory Authority) barred Quon from the securities industry. FINRA alleged that Quon has failed to respond to its investigation regarding allegations that he received expense reimbursements for personal expenses.
Earl Quon was a financial advisor and registered representative of MML Investors Services from March 2017 to November 2018. Quon also worked with Cetera Investment Services from November 2018 to July 2020. He worked in a branch office in Honolulu, Hawaii. Quon was also affiliated with American Savings Bank.
Brokerage firms like MML Investors Services 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; Ann Arbor, Michigan; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Hawaii. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against MML Investors Services and Cetera.