ANTONY DERTAI YIN is currently employed as a Broker and/or Investment Adviser at INNOVATION PARTNERS LLC located at 5950 FAIRVIEW ROAD, SUITE 806, CHARLOTTE, NC, 28210.
ANTONY DERTAI YIN has worked at INNOVATION PARTNERS LLC since September 18, 2015
Disclosure History
ANTONY DERTAI YIN has 2 Disclosure Event(s).
Date: September 01, 2014 Category: Judgment / Lien Judgment/Lien Amount: $1,617.90 Judgment/Lien Type: Tax Broker Comment: 2013 tax for $586 was paid in 2014. The 2014 and 2015 remaining for $1027.80 will be paid before 10/30/2015.
Date: June 01, 2009 Category: Customer Dispute Allegations: MULTIPLE BASED ON RR ALLEGEDLY FAILING TO PROVIDE ACCOUNT DOCUMENTS AND PROVIDING FALSE AND/OR MISLEADING INFORMATION. Damage Amount Requested: $5,600,000.00 Broker Comment: CLIENTS COMPLAINED VIA ATTORNEY OVER EIGHT YEARS AFTER BEGINNING TO INVEST WITH RR. CLIENTS ERRONEOUSLY ASSERTED THAT RR FAILED TO PROVIDE THEM WITH DOCUMENTATION OF THEIR TRADING. CLIENTS WERE IN FACT PROVIDED WITH CONTEMPORANEOUS TRADE CONFIRMATIONS AND MONTHLY/QUARTERLY ACCOUNT STATEMENTS DIRECTLY FROM THE CLEARING FIRM. BASED ON INVESTMENT LOSSES INCURRED IN THEIR SPECULATIVE TRADING ACCOUNTS IN 2008, CLIENTS HAVE CLAIMED LOSSES GREATER THAN ACTUALLY INCURRED. THE COMPLAINT WAS DEEMED TO BE WITHOUT MERIT AND HAS BEEN DENIED. AS OF 06/01/2011 COMPLAINT IS NO LONGER REPORTABLE AND SHOULD BE ARCHIVED.
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