FINRA Issues Bar To Eddy Chou

Soreide Law Group is investigating possible investor claims against securities broker Eddy C. Chou (CRD: 4685418, San Francisco, California). Evidently, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, Chou failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Chou.

FINRA Bars Chou For Failure To Respond To FINRA

Evidently, on August 26, 2022, FINRA issued Letter No. 2021071392801 sanctioning Eddy Chou for infractions. Specifically, FINRA barred Chou, which precludes him working for a FINRA-member securities firm in any role. Particularly, FINRA alleged that Chou failed to respond to FINRA’s request for information.

According to FINRA Rule 9552(h) and as stated in FINRA's letters of Suspension and Suspension from Association in May and June of 2022, Chou is no longer allowed to be associated with any FINRA member in any role as of August 26, 2022. Chou did not seek to end his suspension within three months of receiving the Notice of Suspension, resulting in an automatic bar from being associated with any FINRA member in any capacity.

Ameriprise Financial Services LLC Disaffiliates With Eddy Chou

Evidently, on April 14, 2021, Ameriprise Financial Services LLC disaffiliated with Chou. Particularly, Ameriprise Financial Services LLC alleged that Chou engaged in securities business with citizens who were living abroad against company policy.

Chou Employment Information

• Chou worked for Ameriprise Financial Services LLC in San Francisco, California, as a securities broker from November 30, 2018, to May 14, 2021.

• Chou worked for Wells Fargo Clearing Services LLC in San Francisco, California, as a securities broker from December 5, 2016, to December 3, 2018.

Damages Resulting From Ameriprise Financial Services LLC Securities Broker Chou?

Have you incurred damages by investing with Eddy Chou? If so, get in touch with Soreide Law Group at (888) 760-6552 and talk with a securities attorney about a possible recovery of your losses. Soreide Law Group, who has effectively recovered money for hundreds of investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Chou and investment firms Chou worked for deny any and all allegations of sales practice violations.