Options for Clients of Wedbush Securities Inc. Broker Raymond Chow

Did you suffer investment losses due to recommendations by Wedbush Securities Inc. broker Raymond Chow (CRD# 2860124)? Sonn Law Group is currently reviewing disclosures and customer complaints involving Mr. Chow, who has been registered with Wedbush Securities Inc. in Elk Grove, California, since 2008.

Investors who experienced losses may have legal recourse through FINRA arbitration.

Raymond Chow Customer Complaints

According to FINRA BrokerCheck, Raymond Chow has been the subject of one customer complaint:
April 2025: “Per a signed agreement, the client’s account has been managed by a 3rd Party Money Manager since 2017. The complaint involves hedging techniques employed by the manager in November 2023 and March 2024, with the final hedge closed in November 2024. Causes of action include: Breach of Fiduciary Duty, Unsuitable Investment Recommendations, Negligence, Failure to Supervise, Violations of Standards of Commercial Honor and Principles of Trade, Violations of Section 10(b) of the SEC Act of 1934 and Rule 10b-5, and Violations of SEC Regulation Best Interest (Reg BI) from November 2023–March 2024.” The customer is seeking $1,089,925 in damages, and the case is currently pending. The complaint involved index options.

Firm Supervision and Potential Liability

Under FINRA rules, brokerage firms are responsible for supervising a broker’s activities while they are registered with the firm. Therefore, Wedbush Securities Inc. may be liable for investment losses suffered by clients due to unsuitable recommendations, breach of fiduciary duty, or other broker misconduct.

Investors who believe they were harmed may have the right to pursue recovery through FINRA arbitration. Claims involving broker misconduct or failure to supervise are subject to strict time limits, so acting promptly is critical.

Speak With a Securities Fraud Attorney

Sonn Law Group represents investors nationwide in matters involving securities fraud, broker misconduct, and investment losses. Consultations are confidential and free of obligation.

If you invested with Raymond Chow or Wedbush Securities Inc. and suffered losses, Sonn Law Group can review your situation and help determine whether recovery options may be available.

Contact Sonn Law Group:

Phone: 833-912-3000
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