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Jack Hsia Involved in Allegations of Unsuitable Investments

Jack Hsia (CRD #: 4722857), a broker registered with Wells Fargo Clearing Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on September 9, 2021. Details are provided below.

On July 21, 2021, an investor alleged that Jack Hsia recommended unsuitable investments.

This is not the only dispute listed on Jack Hsia’s BrokerCheck Report. Another dispute from June 9, 2009, alleged that Jack Hsia misrepresented an investment to his client. The dispute settled for $400,000.

Jack Hsia Background Information

Jack Hsia has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

He is a registered broker in 30 states and is a registered investment adviser in California and Texas.

Jack Hsia has registered with the following firms:

  • Wells Fargo Clearing Services (CRD #: 19616)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
  • Banc of America Investment Services (CRD #: 16361)
  • American Express Financial Advisors (CRD #: 6363)

Kurta Law Can Help

If you worked with Jack Hsia and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email info@kurtalawfirm.com.

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