Close Menu
Free Consultation: 888-976-6111

Darren Ting: FINRA Bars Ex-JP Morgan Advisor

Former Cleveland financial advisor Darren Ting (CRD# 6814035) was recently suspended by FINRA in connection with allegations he made unauthorized discretionary trades. Financial Industry Regulatory Authority records show that the former JP Morgan Securities broker is currently registered as an investment advisor with Farther Finance Advisors.

Mr. Ting’s BrokerCheck report discloses the FINRA sanction against him. Filed in December 2023, it alleged that he exercised discretionary authority in customer accounts without written authorization from the investors or his firm’s approval of the accounts for discretionary trading. “The findings stated that although the customers understood that Ting was placing trades in the accounts,” FINRA found, “the customers had not provided prior written authorization for Ting to exercise discretion.”

The regulator also found that by marking solicited transactions as unsolicited, he caused his member firm, JP Morgan Securities, to maintain inaccurate books and records. As a result of these findings, FINRA issued Mr. Ting a fine of $10,000 and a four-month suspension from registering with any FINRA member firm in all capacities.

Farther Finance’s website includes a profile of Mr. Ting that describes him as a Vice President and wealth advisor at the firm. “Darren is dedicated to providing comprehensive financial planning, investment solutions, and tax management strategies for his clients and their family,” it states. “He specializes in risk management and strategic asset allocation of portfolios, helping his clients navigate through Bull and Bear Markets.”

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Darren Ting holds five years of securities industry experience. Based in San Francisco, California, he has been an investment advisor with Farther since April 2022. His past registrations include JP Morgan Securities (Cleveland, Ohio; 2021-2022) and Merrill Lynch (Cleveland, Ohio; 2018-2021). His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California and Ohio. (Information current as of January 14, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Morgan Stanley, Merrill Lynch Face Deferred Compensation Claims

    A number of advisors have filed claims against investment firms in connection with allegations that the firms illegally withheld their...

    Read More
  • Bruce Beetz: $300K Complaint Against Emerson Equity Advisor

    Hollister, California financial advisor Bruce Beetz (CRD# 1527269) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial...

    Read More
  • John Pigeon: $120K Complaint Against Osaic Advisor

    Fall River, Massachusetts financial advisor John Pigeon (CRD# 2354079) recently received an investor complaint alleging that his conduct resulted in...

    Read More
  • Skip Chatelain: Prospera, Dorsey Advisor Faces $100K-$500K Complaint

    A recent investor complaint against Metairie, Louisiana financial advisor Skip Chatelain (CRD# 4192942) alleges that his conduct resulted in six-figure...

    Read More
  • Previous
  • Next