Haselkorn & Thibaut has opened an investigation into financial advisor Simon Ga Jeung Leung (Simon Leung), a registered broker and investment adviser based in Marietta, Georgia, currently affiliated with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors. If you have concerns about your investments or financial recommendations made by Mr. Leung, read this detailed research report for specific red flags, a complete list of customer complaints, and guidance. Our goal is to provide clarity to investors and empower you with the information necessary to make informed decisions about your financial future. If you believe you are affected, reach out to Haselkorn & Thibaut at 1-888-885-7162 for a free, confidential consultation.
Who is Simon Ga Jeung Leung of Wells Fargo, Marietta GA?
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Simon Leung has been active in the financial services industry for over 13 years, helping clients in Marietta, Georgia and beyond. Currently, he operates as both a broker and investment adviser with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors at their Merchants Walk office, holding licenses in 17 states and maintaining registrations with several key market regulatory organizations.
| Name | Simon Ga Jeung Leung (Simon Leung) |
|---|---|
| CRD Number | 5795988 |
| Current Firm | Wells Fargo Clearing Services, LLC / Wells Fargo Advisors |
| Location | 1313 Johnson Ferry Rd NE, Merchants Walk, Marietta, GA 30068 |
| Years of Experience | 13+ |
| State Registrations | 17 states including GA, FL, TX, CA, and others |
| Disclosures | 4 (2 tax liens, 2 customer disputes) |
Recent Red Flags for Simon Leung at Wells Fargo, Marietta GA
Investors reviewing Simon Leung’s professional record should be aware of several important disclosures that have surfaced in the past two years. These events may not always lead to disciplinary outcomes but are essential for clients and potential clients to understand.
Two Recent Tax Liens – Totaling $83,664.47
In March 2025, two significant tax liens were placed against Simon Leung:
- Tax Lien 1: Filed March 5, 2025, in the amount of $75,557.01.
- Tax Lien 2: Filed March 5, 2025, in the amount of $8,107.46.
Both liens remain active as of the most recent reporting, indicating unresolved financial obligations to tax authorities. While tax liens in themselves do not automatically indicate professional misconduct, they may raise investor concerns about a financial advisor’s personal financial management or stability. Regulatory bodies and clients alike may view such matters as relevant to the trust placed in a financial professional.
Two Customer Disputes in 2024 – Both Denied
| Date Filed | Allegation | Status |
|---|---|---|
| Feb 15, 2024 | “Customer complained that the financial advisor recommended purchasing an investment that was not in his best interest due to risk of loss and surrender penalty.” | Denied |
| Nov 1, 2024 | “Client complains investments were not in their best interest and requested they be unwound as soon as possible (8/29/2024–11/1/2024).” | Denied |
It’s important to highlight that both customer disputes were denied by the firm and/or advisor, meaning they did not result in a client recovery or a regulatory finding. However, the repeated theme—allegations that recommendations were not in the client’s best interest—presents a pattern that merits attention, particularly as these disputes occurred only months apart. Investors should be aware of these allegations when considering advisory relationships.
For a comprehensive review of Simon Leung’s regulatory record, investors may also view his summary on FINRA BrokerCheck.
Professional History and Background
- Wells Fargo Clearing Services, LLC (Broker): Nov 2014 – Present (11+ years)
- Wells Fargo Advisors (Investment Adviser): Sept 2015 – Present (10+ years)
- J.P. Morgan Securities LLC: Oct 2012 – Nov 2014
- Chase Investment Services Corp: Two short periods in 2010 and 2012
Simon Leung is currently licensed to operate in 17 states and is registered with major exchanges including the NYSE and Nasdaq, allowing for a broad client base and diversified business activities.
Key Findings for Investors Considering Simon Leung, Wells Fargo Advisors, Marietta GA
- Recent Tax Liens: Two sizable unresolved tax liens from March 2025 raise questions about personal financial management.
- Two Customer Disputes in 2024: Repeated client allegations about unsatisfactory investment recommendations suggest possible issues with suitability or communication, even though both cases were denied.
- No Regulatory Actions: No suspensions, fines, or regulatory sanctions have been noted.
- Long Tenure: Over a decade at Wells Fargo, which can indicate stability within an established financial institution.
Recommended Steps for Investors
- Stay Informed: Regularly review your advisor’s record for updates or new disclosures.
- Ask Questions: If you’ve worked with Simon Leung and experienced concerns regarding your investments or felt recommendations did not match your risk profile, seek clarification and request a transparent review of your portfolio and transaction history.
- Monitor Suitability Allegations: If your investments have involved complex or high-fee products, ensure they were consistent with your goals and risk tolerance. The repeated customer complaints—even though denied—centered on this theme.
- Discuss Financial Stability: If you are uncomfortable with your advisor’s recent tax liens, address your concerns directly or discuss this matter with a compliance officer at Wells Fargo Advisors.
- Consider a Second Opinion: Consult independent resources or contact Haselkorn & Thibaut for a free, impartial review.
Complaint List – Simon Leung, Wells Fargo Advisors, Marietta GA
- Customer Complaint (Feb 2024): Alleged unsuitable investment due to risk of loss and surrender penalty. Denied.
- Customer Complaint (Nov 2024): Alleged investments not in best interest, client sought rapid unwinding. Denied.
- Tax Lien (Mar 2025): $75,557.01, status active.
- Tax Lien (Mar 2025): $8,107.46, status active.
Why Investors Choose Haselkorn & Thibaut
Haselkorn & Thibaut (investmentfraudlawyers.com) is a national investment fraud law firm with over 50 years of experience, a 98% success rate, and millions recovered for clients
