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.
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.
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.
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.
Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]
Soreide Law Group is investigating potential investor claims involving Infinity Financial Services after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and recommendations. Investors who incurred surrender charges or other losses in connection with variable annuity transactions recommended through Infinity should review the allegations that led to FINRA's disciplinary action against […]
Soreide Law Group is investigating potential investor claims involving losses in NextGenTech Investments LLC, a private fund managed by Sestante Capital LLC that purported to provide investors with economic exposure to shares of private companies, including Anduril Industries. Recent criminal proceedings involving Sestante Capital's manager have raised significant concerns regarding the offering, the representations made […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com