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Linda Liu Allegedly Recommended Unsuitable Investments

Linda Liu (CRD #: 4155741), a broker registered with Cetera Investment Services, is alleged to have recommended unsuitable investments, according to her BrokerCheck record, accessed on April 6, 2022. If you have questions about Linda Liu’s conduct as a broker, keep reading.

Unsuitable Investment Recommendation Allegations

On December 3, 2021, an investor alleged Linda Liu recommended unsuitable investments. They seek $500,000 in damages in this pending dispute.

What are Unsuitable Investment Recommendations?

FINRA 2111 requires brokers to provide investors with recommendations tailored to investors’ profiles. These profiles contain information like an investor’s tax status, investment goals, and risk tolerance. Investors may be able to recover money lost through unsuitable investments by seeking FINRA arbitration.

Background Information

Linda Liu has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 25 – NYSE Trading Assistant Examination

Linda Liu is a registered broker in 14 states and a registered investment adviser in New Jersey and New York.

Prior to Cetera Investment Services, she has also worked for the following firms:

  • AXA Advisors (CRD#:6627)
  • Kellogg Capital Group (CRD#:35032)
  • Performance Specialist Group (CRD#:35032)
  • Puglisi, Robert Gaspar (CRD#:32756)
  • Wagner Stott Bear Specialists (CRD#:32691)
  • Wagner Stott Mercator (CRD#:31352)

Kurta Law Can Help

If you worked with Linda Liu 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. 

 

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