Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Liu (Liu), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Liu 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 $50,000.00 on September 08, 2022.
Claimant alleges unsuitable investment recommendation and breach of fiduciary duty