CUPERTINO, CALIFORNIA
Have you lost money with financial advisor Yu-Chin Grace Chen, formerly with Cetera Investment Services in Cupertino, California? We are looking into allegations made against Yu-Chin Chen, who has been the subject of three customer complaints, one of which was filed within the last year. The complaints allege that Chen sold unsuitable investments in real estate. The real estate investments allegedly lost at least $100,000 combined in damages.
Yu-Chin Chen was with Cetera Investment Services from March 2013 to August 2015. She was also with Wells Fargo from July 2015 to December 2016 and with Citigroup from November 2016 to May 2019. She has worked at branch offices in Cupertino, California. Chen also filed for bankruptcy in 2010.
rokerage firms like Cetera Investment Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Cetera Investment Services.
Click to view Yu-Chin Grace Chen BrokerCheck Report
If you lost money with Yu-Chin Chen, Cetera Investment Services, or real estate investments, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.