ANDY DAW CHYOW YU

ANDY DAW CHYOW YU is currently employed as a Broker and/or Investment Adviser at NI ADVISORS located at 1108 S. BALDWIN AVE., SUITE 217, ARCADIA, CA, 91007.

ANDY DAW CHYOW YU has worked at NI ADVISORS since January 14, 2010

Disclosure History

ANDY DAW CHYOW YU has 1 Disclosure Event(s).

Date: November 25, 2009
Category: Customer Dispute
Allegations: APRIL, 2008. REFER UNSOLICITED CLIENT TO OTHER SECURITIES FIRM.
Damage Amount Requested: $65,000.00
Settlement Amount: $65,000.00 09-06494

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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