February 2, 2024

Aegis Clients Dispute Broker Henry Liu

Soreide Law Group is looking into potential claims on behalf of investors who incurred losses due to Henry Jihua Liu [CRD: 2428803, Melville, New York]. Evidently, Liu joined Aegis Capital Corp in March 2011 as a securities broker and financial advisor. He has faced investor accusations such as unsuitable investment recommendations. For more detailed information about these disclosures, continue reading below.

Client Alleged Unsuitable Investment Recommendations At Aegis Capital Corp

A client of Aegis Capital Corp filed FINRA Arbitration No. 22-02040 about Henry J Liu. The client accused Liu of recommending unsuitable alternative investments and breaching a fiduciary duty. The firm resolved the issue by compensating the client $20,000 on October 10, 2022.

Signature Forgery Allegations At Chase Investment Services Corp

A client of Chase Investment Services Corp raised a complaint on May 6, 2009, accusing Henry Liu of forging their signature on a mutual fund form. The client alleged losses on mutual fund investments due to this misconduct and sought compensatory relief. However, this complaint was denied.

Misrepresentation Claims At Chase Investment Services Corp

On February 10, 2009, another client of Chase Investment Services Corp lodged a complaint against Henry Liu. The client contended that Liu misrepresented the nature of a mutual fund investment, leading to alleged damages on mutual fund investments. The client sought compensation of $23,368.47. However, this complaint was denied.

Unauthorized Bond Transaction Settlement At WAMU Investments Inc

Also, Henry Liu was involved in a complaint alleging unauthorized bond purchases. The WAMU client claimed that bonds were bought without their consent following an unauthorized change in their account address. The complaint resulted in WAMU Investments Inc settling the matter for $89,599.93 on March 12, 2009.

Investors who have suffered losses due to Henry Liu's actions are encouraged to reach out to Soreide Law Group. Contact them online or at (888) 760-6552 to discuss the possibility of recovering investment losses. The firm operates on a contingency fee basis, ensuring dedicated assistance to investors nationwide. Despite the claims, Liu and his associated brokerage firms deny allegations of improper sales practices.

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