Henry Jihua Liu of Melville, New York, a stockbroker registered with Aegis Capital Corp., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $20,000.00 in damages based upon allegations that Liu made unsuitable investment recommendations and breached his fiduciary duties in connection with the sale of alternative investments during the time that Liu was associated with Aegis Capital Corp. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-02040 (October 10, 2022).
FINRA Public Disclosure shows that Liu was referenced in six other customer initiated investment related disputes concerning Liu’s conduct while associated with securities broker dealers. On January 23, 2009, a customer filed an investment related complaint involving Liu’s conduct in which the customer requested $11,356.55 in damages based upon allegations that Liu engaged in unauthorized trading in mutual funds during the time that Liu was associated with Chase Investment Services Corp.
On February 10, 2009, another customer filed an investment related complaint involving Liu’s conduct in which the customer requested $23,368.47 in damages based upon allegations that Liu made misrepresentations of material fact in connection with the sale of mutual funds when Liu was associated with Chase Investment Services Corp.
Liu was also referenced in a customer initiated investment related complaint filed on May 6, 2009, in which the customer requested compensation based upon allegations that Liu committed forgery in connection with the sale of mutual funds.
Liu has been associated with Aegis Capital Corp. as a stockbroker and investment advisor representative since March 11, 2011.
