RAYMOND WYMAN CHOW (RAYMOND W CHOW) is currently registered as a broker and as an investment advisor with WEDBUSH SECURITIES INC. of Elk Grove, California since 3/20/2008.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RAYMOND W CHOW has been in the securities industry for 27 years and has been listed with 2 firms. Before WEDBUSH SECURITIES, RAYMOND W CHOW, was with ML STERN of Sacramento, California from 08/29/1997 - 03/24/2008. Chow has one disclosure on his FINRA CRD report.
There was a “Customer Dispute” filed against RAYMOND W CHOW dated 4/22/2025. This dispute is currently pending. The allegations are, “Per a signed agreement, Client's account has been managed by a 3rd Party Money Manager since 2017. Client's specific complaint is @ hedging technique employed by manager initiated in November, 2023 and again in March, 2024. Final hedge position closed in November 2024.” The damage amount requested is $489,825.00.
According to FinanceStrategists, hedging can be expensive, and the costs associated with using financial instruments to hedge must be carefully considered. Hedging strategies may not always be effective in controlling risks, and there is a risk that hedges can fail. The use of derivatives and other financial instruments for hedging may have regulatory and tax implications that must be carefully considered. Hedging is a strategy used to reduce or mitigate risk in various industries and markets. Regular monitoring and adjustment of the hedging strategy are necessary to ensure its effectiveness.
The Finance Stategists article adds that derivatives, insurance products, and diversification strategies are the most commonly used financial instruments for hedging. There are additional hedging strategies, such as portfolio hedging, interest rate hedging, currency hedging, and commodity hedging, which can be used to manage specific risks effectively. Implementing a hedging strategy requires a thorough understanding of the client's needs, risk tolerance, and investment objectives.
To discuss this article or any other securities issues, contact Soreide Law Group and speak to an experienced securities lawyer at no cost at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis, no fee to you if no recovery.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com