Chiu-Fong Wu Allegedly Failed to Respond to FINRA Requests for Information

Chiu-Fong Wu (CRD #: 1656476), a broker formerly registered with Ameriprise Financial Services, was recently suspended by FINRA, according to her BrokerCheck record, accessed on August 7, 2022. Keep reading if you have questions about her conduct as a broker.

Investor Dispute

On May 23, 2022, Chiu-Fong Wu was sent a Notice of Suspension after allegedly failing to respond to FINRA requests for information. Her suspension began on June 16, 2022, and ended on July 18, 2022.

FINRA Rule 9552

FINRA Rule 9552 suspends or cancels brokers who fail to respond to FINRA requests for documents or information. Brokers can request a hearing or an end to their suspension within a limited time, after which they are barred.

Resignation from Ameriprise Financial Services

On January 31, 2021, Chiu-Fong Wu resigned from Ameriprise Financial Services while under investigation for allegedly violating firm policy related to password sharing and signatures.

Background Information

Chiu-Fong Wu has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

In the past, she worked for the following firms:

• Ameriprise Financial Services (CRD#:6363)
• Wells Fargo Clearing Services (CRD#:19616)
• Prudential Securities (CRD#:7471)
• WMA Securities (CRD#:32625)
• Pruco Securities (CRD#:5685)

Kurta Law Can Help

If you worked with Chiu-Fong Wu and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.