Investors apparently complained about securities broker Raymond Wyman Chow [CRD: 2860124, Elk Grove, California], according to disclosures on FINRA BrokerCheck. Chow joined Wedbush Securities Inc. in Elk Grove, California, as both a securities broker and financial advisor on March 20, 2008. Below, you can learn more about the disclosures involving Raymond Chow.
Specifically, on April 22, 2025, a Wedbush Securities Inc. client brought a complaint about Raymond Chow. The complaint centers around a problematic hedging strategy employed by a third-party money manager in 2023-2024. Because of this, the client allegedly sustained damages relating to index options. So, the client requested $489,825.00 in compensation from Wedbush Securities or Chow.
Unsuitable trading refers to when a securities broker or financial advisor recommends or executes trades that are not aligned with a client’s investment profile, including their risk tolerance, financial goals, and investment experience. FINRA rules require brokers to make recommendations that are suitable for their clients. If unsuitable strategies are employed, investors may experience significant financial losses and may have grounds for legal action.
Did you experience losses because of Raymond Chow? If so, touch base with Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer. For years, Soreide Law Group has recovered losses for investors throughout the USA. Also, the firm works on a contingency fee arrangement and advances the costs. Chow and brokerage firms Chow worked for deny allegations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com