Simon Lui Fired from JPMorgan Chase Bank

Simon Lui (CRD #: 5643422), a broker registered with Wells Fargo Clearing Services, was fired from JPMorgan Chase Bank, according to his BrokerCheck record, accessed on July 27, 2025. Investors may have also engaged his services through Wells Fargo Advisors. If you have questions about his alleged conduct as a broker, keep reading.

Termination from JPMorgan Chase Bank

On April 16, 2025, Simon Lui was fired from JPMorgan Chase Bank following allegations that he assigned a bank referral credit to a banker co-worker who did not meet its eligibility criteria.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Simon Lui has passed the following exams:

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

Simon Lui is a registered broker in Arizona and California. He is also a registered investment adviser in California.

He has also worked for J.P. Morgan Securities (CRD#:79) and Chase Investment Services (CRD#:25574).

Kurta Law Can Help

If you worked with Simon Lui 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 that 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.