Articles Tagged with David Yu

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Yu (Yu), currently associated with Ifp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 08, 2025.

Claimants allege that investments purchased prior to 2016 were unsuitable.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Yu (Yu), currently associated with Ifp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $76,150.00 on June 08, 2023.

Client alleges Mr. Yu improperly recommended a high risk, high commission illiquid alternative investment, namely, GWG Holdings, Inc. and that Mr. Yu misrepresented the investment to them and that it was\, inconsistent with their financial situation and needs, investment objectives and their risk tolerance.