Derek Su

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,200,000.00 on June 12, 2023.

Claimants had been clients of USCA since 2015. Su began handling their accounts in late 2020. Claimants allege Su failed to properly structure their accounts to meet their retirement goals. Specific allegations include negligence, gross negligence, failure to supervise, and breach of fiduciary duty.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Derek Su (Su), currently associated with U.S. Capital Wealth Advisors, LLC, has at least one disclosable events. These events include one customer complaints alleging that Su recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,200,000 on June 12, 2023.

Articles Tagged with Derek Su

Broker Derek Su in Usca Securities LLC Firm Has Customer Complaint

U.S. Capital Wealth Advisors, LLC Advisor Derek Su Has Customer Complaint