Tanya Tang: Merrill Lynch Advisor Faces Investor Complaint

San Marino, California financial advisor Tanya Tang (CRD# 7176633) allegedly failed to follow instructions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with HSBC Securities.

Ms. Tang’s BrokerCheck report discloses one investor complaint. Filed in August 2025, it alleges that as a representative of Merrill Lynch, she failed to follow the customer’s instructions in connection with unspecified investments. The pending complaint alleges unspecified damages.

Investors should be aware that under FINRA Rule 2010, brokers like Ms. Tang are required to “observe high standards of commercial honor and just and equitable principles of trade.” Various forms of unethical conduct, including the failure to follow a customer’s directions, may constitute violations of FINRA Rule 2010, provided the activities occur “in the conduct of [the member’s] business.” Brokers who violate Rule 2010 may be found liable for damages in the event of losses, or even subject to disciplinary action by securities regulators like FINRA.

Ms. Tang’s LinkedIn profile includes a section describing her as a “goal-oriented and independent” professional who prioritizes personalized interactions with her customers, as well as long-lasting relationships. “Together,” she writes, “we rise.”

According to the Financial Industry Regulatory Authority, Tanya Tang holds five years of securities industry experience. Based in San Marino, Pasadena, and Monterey Park, California, she has been registered as a broker and an investment advisor with Merrill Lynch since 2021. She was previously registered with HSBC Securities in Los Angeles, California. Her credentials include the passage of five securities industry qualifying exams: the General Securities Representative Examination, or Series 7TO; the Investment Company Products/Variable Contracts Representative Examination, or Series 6TO; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Arizona, California, Florida, Nevada, Oregon, South Dakota, Texas, and Washington. (Information current as of October 6, 2025.)

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