Haselkorn & Thibaut has opened an investigation into financial advisor Chong Zhang (CRD# 6444001), currently registered with Ameriprise Financial Services in Rancho Cucamonga, California. If you are an investor with concerns about your accounts or have experienced losses, this report provides important information about the advisor’s regulatory background, complaint history, and guidance on next steps. Every investor deserves transparency, and we aim to inform and equip you with the knowledge you need.
Overview: Chong Zhang, Ameriprise Financial Advisor in Rancho Cucamonga, CA
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Chong Zhang is a financial advisor with over a decade of experience in the securities industry. She has been registered with Ameriprise Financial Services since 2024 and previously worked with Edward Jones in Alta Loma, California, from 2015 to 2024. Zhang’s credentials include passing the Securities Industry Essentials Examination (SIE), the Series 66 (Uniform Combined State Law Exam), and the Series 7 (General Securities Representative Examination). She holds licenses in 25 states and is authorized as both a broker and investment advisor. Information is current as of December 25, 2025.
Investor Complaint: Details and Allegations
Key Red Flag: Pending Investor Complaint for $2 Million
- Date Filed: November 2025
- Type: Customer-Initiated Complaint
- Status: Complaint is pending
- Allegations: The investor alleges that, as an Ameriprise representative, Chong Zhang failed to protect clients from a scam resulting in the liquidation of their accounts. Claimed damages are $2 million.
This is the only formal investor complaint currently disclosed on Ms. Zhang’s record. While the matter is pending and no determination of liability has been made, the size of the claim underscores the importance of careful due diligence by clients and industry oversight.
Understanding Broker Responsibilities
Under FINRA Rule 2010, all registered advisors and representatives are required to uphold high standards of commercial honor and just and equitable principles of trade. FINRA Rule 2111 further mandates that brokers must only recommend transactions and strategies that are suitable for the customer based on a reasonable basis rooted in a thorough understanding of the client’s investment profile. If these responsibilities are breached or negligence is established—such as failing to protect client assets, overlooking scams, or not following explicit client instructions—advisors and their firms may be held liable for resulting losses.
Regulatory Background Check: Complaint and Legal History
| Category | Status / Details |
|---|---|
| Investor Complaints | 1 pending investor complaint (Nov 2025) alleging $2M in damages |
| Arbitrations/Regulatory Actions | No adverse regulatory actions or arbitration decisions reported |
| SEC/FINRA Disciplinary Actions | No disciplinary actions or enforcement releases identified |
| Bankruptcies | None disclosed |
How to Verify an Advisor’s Record
For complete transparency, investors are encouraged to check BrokerCheck—FINRA’s official database—to review any advisor’s record for disclosures, complaints, and professional background. To search, go to BrokerCheck and enter either “Chong Zhang” or her CRD number, 6444001.
Common Red Flags When Reviewing an Advisor
- Pending or Settled Client Complaints
- Lack of Transparency About Past Regulatory Actions
- Allegations of Negligence or Failure to Protect Assets
- Unexplained Portfolio Losses
- Significant Account Liquidations without Non-Trivial Justification
If you notice any of these warning signs when working with an advisor, it’s smart to seek a second opinion and review the advisor’s record yourself.
Why Choose Haselkorn & Thibaut If You Have Concerns?
Haselkorn & Thibaut is a distinguished investor-focused law firm with a national reach, over 50 years of combined experience, and a proven 98% success rate recovering millions on behalf of clients. Our team operates on a strict no recovery, no fee basis—delivering practical, straightforward advice for investors concerned about fraud, negligence, or investment losses.
- Free confidential consultation for Ameriprise clients nationwide
- Deep experience with FINRA-related disputes and arbitration
- Personal, empathetic approach—your circumstances and goals drive our advocacy
Have You Experienced Portfolio Losses or Account Irregularities? Here’s What To Do:
- Gather your account statements and correspondence related to Chong Zhang or Ameriprise Financial Services.
- Contact Haselkorn & Thibaut at 1-888-885-7162 for a free, no-obligation consultation.
- Let our team review your situation confidentially and help you understand your options. Remember, no legal fees unless we recover for you.
Key Takeaways for Investors
- Chong Zhang, Ameriprise Financial advisor in Rancho Cucamonga, CA, faces a pending $2 million investor complaint related to alleged failure to protect client assets.
- No prior regulatory or legal actions have been reported against her aside from this pending claim.
- Both FINRA and Haselkorn & Thibaut prioritize investor protection. Vigilance is essential if you suspect improper handling of your investments.
- Haselkorn & Thibaut’s investigation underscores the seriousness of the current allegations and the need for professional guidance if you or a loved one have questions about your accounts.
Your financial security matters. If you have concerns regarding Chong Zhang, Ameriprise Financial Services, or any other investment professional, connect with our experienced team today:
Taking action now can help you protect your investments and potentially recover losses, if any. Reach out and let us put our experience to work for you.
