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Su-Chin Liu Barred In Connection with Investigation into Improper Premium Payments

FINRA barred Su-Chin Liu of Fremont, California from the securities industry after she failed to cooperate with an investigation into improper payments she allegedly made on behalf of clients in order to obtain commissions.

FINRA Case #20100239809

Associated with NYLIFE Securities LLC until her termination on August 3, 2010 and subsequently employed by New England Securities, FINRA's investigation alleged that Liu personally paid insurance premiums on behalf of some customers with the purpose of obtaining commissions for herself.

On September 24, 2012, Liu's counsel informed FINRA Liu would not appear and provide testimony. According to FINRA's rules regarding sanctions, such a refusal may result in permanent banishment from association with FINRA and its member firms.

If you have invested with Su-Chin Liu or with any other broker, financial advisor or representative who you believe has effected excessive or unnecessary transactions and such misconduct has proven detrimental to your financial interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

Categories: Discipline, FINRA, Commissions
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.