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Zhen Liu Involved in Misrepresentation Dispute

Zhen Liu (CRD #: 6327127), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in an investor dispute, according to her BrokerCheck record, accessed on May 19, 2022. Keep reading if you want to learn more about Zhen Liu’s conduct as a broker.

Investor Dispute

On February 28, 2022, an investor alleged that Zhen Liu failed to provide an accurate description of the fees related to certain funds between January 3, and February 25, 2022. This dispute is currently pending.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent tactics to influence investors’ decisions. This includes the purposeful or negligent omission or misrepresentation of information pertaining to investments.

Background Information

Zhen Liu has passed the following exams:

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

Zhen Liu is a registered broker in Arizona, California, Nevada, and North Carolina. She is also a registered investment advisor in California.

She has also worked for the following firms:

  • Citigroup Global Markets (CRD#:7059)
  • HSBC Securities (USA) (CRD#:19585)
  • Wells Fargo Advisors (CRD#:19616)

Kurta Law Can Help

If you worked with Zhen 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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