Last Updated: January 2026 (Austin, Texas)
Derek Su Investigation Summary
Here’s what you need to know about Austin, TX, stockbroker Derek Su:
- Name: Mr. Derek Chung Su
- Current Employer: USCA Securities LLC, U.S. Capital Wealth Advisors (RIA)
- Previous Firms: Wells Fargo Advisors
- Function: Stock Broker/ Financial Advisor/Registered Investment Advisor
- Aliases: Derek Su
- Primary Location: 300 W. 6th Street, Austin, Texas
- Other Business Affiliations: Original Brooklyn Pie Inc. – Austin, TX
- CRD 4121574
- Can Derek Su be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award paid to Customer: $1,130,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Derek Su As Your Stockbroker?
A customer of USCA Securities filed a FINRA arbitration in 5/2023 alleging that Derek Su failed to properly structure their accounts to meet their retirement goals, was grossly negligent and breached his fiduciary duty. The products at issue are annuities, options and private placements. The customers was paid $1,130,000 in 11/2025 to settle this case.
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk.
Allegations of Broker Misconduct Against Derek Su
Customers of Derek Su have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in annuities and private placements
- Failed to properly structure customer accounts in order to meet their retirement goals
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
What is Option Trading? According to the U.S. Securities and Exchange Commission (SEC) “Options are contracts giving the purchaser the right to buy or sell a security, such as stocks, at a fixed price within a specific period of time.”This right to purchase or right to sell at a set price for a set period of time allows investors to potentially profit not only from the rise in price, but also the decline. “Call” options grant the investor the right to buy a security at a set price for a set period of time. “Put” options give the investor the right to sell a security a set price for a set period of time.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Derek Su, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.