Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Chu (Chu), currently associated with RBC Capital Markets, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Chu 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 $460,000.00 on July 19, 2022.
Unsuitable concentration of energy sector securities