DIANE ZHU of PFS Investments, Barred by FINRA
Diane Zhu, previously with PFS Investments, Barred by FINRA
Have you lost money with financial advisor Diane Zhu? The law firm of Israels & Neuman is investigating allegations made about Diane Q. Zhu from San Francisco, California. FINRA (the Financial Industry Regulatory Authority) barred Zhu from the securities industry after Zhu failed to respond to its investigation. FINRA was investigating Zhu after she was alleged to have engaged in an unauthorized outside business activity without permission from her former brokerage firm, PFS Investments (Primerica).
Diane Zhu was a financial advisor and registered representative of PFS Investments (Primerica) from 1997 to December 2018. She worked in a branch office in San Francisco, California.
Brokerage firms like PFS Investments have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against PFS Investments.
Click to view: Zhu, Diane FINRA AWC
Click to view: Zhu, Diane BrokerCheck 7.31.19
If you lost money with Diane Zhu or PFS Investments, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.