Haselkorn & Thibaut has opened an investigation into San Marino financial advisor Tanya Tang and her activities at Merrill Lynch. If you’ve worked with Ms. Tang or have concerns about your investments, understanding the details of recent allegations and potential red flags can help protect your financial future.
Understanding the Recent Investor Complaint Against Tanya Tang
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In August 2025, an investor filed a formal complaint against Tanya Tang (CRD# 7176633), alleging she failed to follow customer instructions while representing Merrill Lynch. While the specific investments and damages remain unspecified in the pending complaint, any allegation of failing to follow client directions raises serious concerns about an advisor’s commitment to their fiduciary responsibilities.
When financial advisors don’t follow client instructions, it can lead to:
- Unsuitable investments that don’t match your risk tolerance
- Unauthorized trading in your account
- Excessive fees from unnecessary transactions
- Significant financial losses from investments you never approved
Tanya Tang’s Professional Background and Current Status
Understanding your financial advisor’s background helps you make informed decisions about your investments. Here’s what investors should know about Tanya Tang at Merrill Lynch:
| Professional Detail | Information |
|---|---|
| Current Firm | Merrill Lynch (since 2021) |
| Previous Firm | HSBC Securities, Los Angeles |
| Industry Experience | 5 years |
| Operating Locations | San Marino, Pasadena, Monterey Park, CA |
| Licensed States | AZ, CA, FL, NV, OR, SD, TX, WA |
While Ms. Tang has passed multiple securities exams including the Series 7, Series 6, and Series 66, credentials alone don’t guarantee ethical behavior or adherence to client instructions.
Red Flags Investors Should Watch For
The pending complaint against Tanya Tang highlights several warning signs that investors should monitor with any financial advisor:
1. Communication Breakdowns
If your advisor doesn’t respond promptly to your questions or seems to misunderstand your investment goals repeatedly, this could signal bigger problems. Clear communication is essential for following client instructions properly.
2. Unexplained Account Activity
Review your statements carefully. Are there trades you didn’t authorize? Investments that don’t match what you discussed? These discrepancies require immediate attention.
3. Pressure to Make Quick Decisions
Reputable advisors give clients time to consider investment options. If you feel rushed or pressured, especially for complex financial products, take a step back.
4. Reluctance to Provide Documentation
Your advisor should readily provide written confirmations of your instructions and investment strategies. Verbal agreements alone aren’t sufficient protection.
FINRA Rules and Your Rights as an Investor
The Financial Industry Regulatory Authority (FINRA) requires all registered representatives to maintain “high standards of commercial honor and just and equitable principles of trade” under Rule 2010. When advisors like Tanya Tang allegedly fail to follow customer instructions, they may violate this fundamental principle.
Your rights as an investor include:
- Having your investment instructions followed precisely
- Receiving suitable investment recommendations based on your financial situation
- Getting clear, truthful information about all investments
- Filing complaints when these standards aren’t met
What Should Tanya Tang’s Clients Do Now?
If you’re currently working with Tanya Tang at Merrill Lynch or had investments with her at HSBC Securities, consider taking these protective steps:
Review All Account Statements
Look for any transactions you didn’t authorize or investments that don’t match your risk tolerance and goals. Document any discrepancies immediately.
Check Your Investment Instructions
Gather all written communications about your investment strategy. Compare these to what actually happened in your account.
Monitor Your BrokerCheck Report
Stay informed about any updates to complaints or regulatory actions involving your advisor.
Consider a Professional Review
An independent evaluation of your portfolio can reveal if your instructions were followed and if your investments are suitable.
Why the Timing of Action Matters
Investment fraud cases have strict time limitations. The sooner you act, the better your chances of recovering losses. Waiting too long could mean losing your right to seek compensation, even if wrongdoing occurred.
Additionally, patterns often emerge when multiple investors come forward. Your experience might help protect others from similar situations.
How Haselkorn & Thibaut Can Help
With over 50 years of experience and a 98% success rate, Haselkorn & Thibaut has recovered millions for investors nationwide. Our team understands the complexities of securities law and how to hold financial advisors accountable when they fail to follow client instructions.
We work on a “no recovery, no fee” basis, meaning you don’t pay unless we successfully recover compensation for your losses. This approach ensures that every investor has access to experienced legal representation, regardless of their financial situation.
Take Action to Protect Your Financial Future
If you’ve experienced problems with Tanya Tang at Merrill Lynch, or if the recent complaint raises concerns about your own investments, don’t wait to seek help. Early intervention can make a significant difference in protecting your assets and recovering any losses.
The team at Haselkorn & Thibaut is ready to review your situation confidentially and help you understand your options. With our extensive experience in investment fraud cases, we can quickly assess whether you have grounds for recovering losses.
Call Haselkorn & Thibaut today at 1-888-628-5590 for your free consultation. There’s no obligation, and our experienced attorneys can help you understand your rights and options. Visit investmentfraudlawyers.com to learn more about how we’ve helped investors like you recover their hard-earned money.
Remember, protecting your investments starts with being informed and taking action when something doesn’t seem right. Don’t let concerns about your financial advisor go unaddressed – your financial future is too important to leave to chance.
