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FINRA Broker Allegations

Allegations against: Kim Chi Luu-Tu

Allegation type: Customer Dispute

Allegation status: Withdrawn

The allegations read: Client alleged there were misunderstandings regarding the purchase of her ids fund accounts and requested aefa refund the purchase payments. Purchase payments totalling $170,223.59 and interest of $2100 for a total of $172,323.59 was reimbursed to the client. My supervisor has verbally discussed this with me. Even though the client signed all the documentation for the transfer she stated she thought she still had time to think about it before the transfer was completed.

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