National investment loss lawyers KlaymanToskes is investigating broker Sam Su a/k/a Minh Su (CRD# 4232029) formerly of UBS Financial Services Inc and Morgan Stanley. Su is currently registered as a broker with Ameriprise Financial Services in San Francisco, CA.
According to FINRA BrokerCheck, broker Sam Te Su a/k/a Minh Su, formerly of UBS Financial Services Inc. is currently facing a pending customer complaint alleging $50,00,000 in damages. The complaint alleges that the client’s account was not invested per her investment objectives and risk tolerance but instead overconcentrated in speculative and volatile investments, with 80% in one single stock. Su is also facing a second customer complaint alleging that the investment strategy executed in the client’s account at Morgan Stanley was unsuitable.
Investors that suffered losses with broker Sam Su are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Former UBS broker Sam Su is currently involved in a customer complaint alleging unsuitable recommendations to invest in speculative and high-risk investments. The customer is seeking $50,000,000 in alleged damages. Additionally, Su is involved in another customer complaint involving a customer of Morgan Stanley, who alleges that the investment strategy executed in their investment account was unsuitable. According to FINRA BrokerCheck, broker Sam Su is currently registered as a broker with Ameriprise Financial Services in San Francisco, CA.
Su was registered with UBS Financial Services until September 2023. Su was also registered with Morgan Stanley from September 2023 to February 2025.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Sam Su, or have concerns regarding your investment portfolio at UBS Financial Services Inc., Morgan Stanley, Ameriprise Financial Services, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.