Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Jun Zhou (a/k/a Justine Zhou). If you suffered losses investing with Jun Zhou (a/k/a Justine Zhou), then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Jun Zhou (a/k/a Justine Zhou) (CRD# 2825595)
As of April 14, 2020, Jun Zhou (a/k/a Justine Zhou)’s FINRA BrokerCheck Report contains the following:
Disclosure Events
1 Regulatory Event(s)
1 Employment Separation After Allegations
UPDATE 4/13/2020: According to FINRA’s January 2020 Disciplinary Actions: “Jun Zhou (CRD #2825595, Chicago, Illinois) November 11, 2019 – An AWC was issued in which Zhou was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Zhou consented to the sanction and to the entry of findings that she participated in private securities transactions with sales of $16,050,000, and selling compensation of $199,000, without providing written notice to, or receiving approval from, her member firm. The findings stated that Zhou, both individually and through a small real estate company she wholly owned and controlled, participated in the sale of membership interests in private real estate funds managed by a third party and in a promissory note with that third-party fund manager. The fund membership interests and the promissory note were securities. In addition, Zhou formed a private real estate fund managed by Zhou’s real estate company. Zhou subsequently filed, on behalf of the fund, a notice of exempt offering of securities with the Securities and Exchange Commission (SEC) related to transactions through which Zhou and her real estate company sold membership interests in the fund to investors, including firm customers. In connection with these transactions, Zhou’s real estate company received from the fund a sourcing fee and a quarterly asset management fee. (FINRA Case #2018059391501)”
Current and Previous Registrations
11/09/2015 – 08/02/2018 THE LEADERS GROUP, INC. (CRD#:37157) LITTLETON, CO
09/08/2004 – 11/06/2015 FARMERS FINANCIAL SOLUTIONS, LLC (CRD#:103863) CHICAGO, IL
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Jun Zhou (a/k/a Justine Zhou) and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
