RedFlags, Allegations and Complaints against CINDY SHU-WAY SHI
Disclosure #1 for CINDY SHI
- eventDate: 6/12/2012
- Disclosure Type: Employment Separation After Allegations
- Disclosure Resolution:
- Disclosure Detail :: Firm Name: AMERIPRISE FINANCIAL SERVICES, INC.
- Termination Type: Discharged
- Allegations: Advisor terminated for company policy violations related to office location, onboarding of staff and altering a previously signed form. Advisor stated that documents were amended by someone other than her, and customer did not object.
- Broker Comment: RR asserts she was recruited under an incorrect platform (Employee: W2 vs Independent Contractor: Form 1099) and the prior firm failed to finger print RR’s CPA staff before working directly with them. RR states this reasoning prompted her termination from her prior broker dealer and she did not violate the terms of her employment. RR also claims she did not alter any documents. RR believes the evidence from a FINRA hearing shows another individual altered client’s document
Should I file a FINRA complaint against brokers like CINDY SHU-WAY SHI?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by CINDY SHU-WAY SHI’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About CINDY SHU-WAY SHI
What is CINDY SHI’s Central Registration Depository (CRD) Number?
Which firm is CINDY SHU-WAY SHI associated with?
CAMBRIDGE INVESTMENT RESEARCH, INC.
Where is CINDY SHI located?
20045 STEVENS CREEK BLVD, CUPERTINO, CA, 95014
Where can I find more details about CINDY SHI’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/39543 to read a detailed report for CAMBRIDGE INVESTMENT RESEARCH, INC.
Are there any disclosures, allegations or complaints filed against CINDY SHU-WAY SHI?
Where can I download a detailed FINRA report for CINDY SHI?
Is it safe to do business with CINDY SHU-WAY SHI?
We’re not sure. Please research CINDY SHI’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:43 am
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