Last Updated: May 2025 – Elk Grove, CA
Here’s what you need to know about Elk Grove, CA stockbroker Raymond W. Chow:
- Name: Mr. Raymond Wyman Chow
- Current Employer: Wedbush Securities Inc.
- DBA: River City Advisors
- Prior Employers: M.L. Stern & Co., LLC
- Function: Stockbroker / Registered Investment Advisor
- Aliases: Raymond Chow
- Primary Location: Elk Grove, CA
- CRD Number: 2860124
- Sanctioned by FINRA: No
- Can Raymond Chow be sued in FINRA arbitration? Yes
- Pending Customer Dispute Seeks Damages of: $489,825
If you’ve sustained damages from Mr. Chow, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Raymond Chow As Your Stockbroker?
Investigations involving other Wedbush Securities brokers
A customer of Wedbush Securities filed a dispute in April 2025, alleging significant investment losses tied to index option strategies employed by a third-party money manager. According to the complaint, the hedging technique at the center of the dispute was executed in November 2023 and again in March 2024, with the final hedge position closed in November 2024. The client is seeking damages of $489,825. This matter remains pending as of April 30, 2025.
Such allegations may involve issues of supervisory failure or failure to conduct proper due diligence, raising concerns under FINRA Rule 3110 (Supervision) and FINRA Rule 2111 (Suitability.
Allegations of Broker Misconduct Against Raymond W. Chow
Clients of Raymond Chow have raised the following allegations:
Losses due to hedging technique employed
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Raymond W. Chow, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
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.