Cathy Wu Investigation
July 2025-Arcadia, CA
The FINRA records of Ping Shuang Cathy Wu , a broker with Cetera Investment Services, disclose a recent customer complaint.
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.
In July 2024 a customer of Cetera Investment Services complained that real estate investment trust (REITs) were misrepresented. The claim was denied by the company and apparently the customer did not pursue the matter further. See our advice below if you have had a claim denied by a brokerage firm.
Wu has been with Cetera Investment Services since September of 2013. Before that time, she was registered with UBS Financial Services and UBS International, Inc.
If you have losses in an account handled by Ping Shuang Cathy Wu, call for a no charge consultation to discuss your options for recovery of damages.
Has Your Brokerage Firm “Denied” Your Claim for Damages Due to Stockbroker Malpractice?
It is quite common (and predictable as well) for brokerage firms to deny a customer’s complaint made directly to the company. Firms know that in many, if not most, instances telling the customer “we don’t think it’s our fault” will be the end to the problem.
Firms seldom, if ever, offer adequate resolution when a customer deals directly with the brokerage firm. In the unlikely event the firm does actually agree to discuss settlement , the firm will generally attempt to have you settle your case for a fraction of what it is worth.
If you think there is a problem with the way your account has been handled, or if you have had your claim “denied”, talk to an experienced securities attorney to learn your rights and to learn what the true value of your claim may be.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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