Last Updated: October 2023 (San Leandro, CA)
Xin Xu Investigation Summary
Here’s what you need to know about San Leandro, CA, stockbroker Xin Xu:
- Name: Mr Xin Xu
- Current Employer: Not currently registered with FINRA
- DBA: Alvery Bartlett Group
- Previous Firms: Arete Wealth Management, Berthel Fisher & Co. ,
- Function: Former Stock Broker/ Financial Advisor
- Aliases: None
- Primary Location: San Leandro, CA
- CRD 6415679
- Can Xin Xu be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Terminated by prior employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Xin Xu As Your Stockbroker?
In 4/2020 Xin Xu was permitted to resign from Arete Wealth Mangement who makes this allegation on his FINRA record: “Firm received anonymous tip that representative was involved in an OBA of which firm had not received prior written notice from representative.”
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Darwin Junior Dees, contact us for a complimentary consultation with an experience 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.
