Chia-Ming Hu (CRD #5368992, New York, New York) Alternate Name: MICHAEL HU
was barred by FINRA for allegedly failing to provide FINRA-requested testimony involving an investigation into allegations that he and another representative of his member firm concealed trading losses.
(FINRA Case #2014043161701)
Michael Hu is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients).
Chia-Ming (Michael) Hu was previously registered for six years with the following firm:
11/2008 - 12/2014 BARCLAYS CAPITAL INC. (CRD# 19714) - NEW YORK, NY
The information obtained from FINRA's website Disciplinary Report May 2015 ends here.
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