← Broker database 2026-04-08
California Broker Chihyu Jerry Hsu Suspended for Failure to Provide Information to FINRA
According to FINRA, Chihyu Jerry Hsu was suspended from association with any FINRA member effective April 8, 2026, pursuant to FINRA Rule 9552(d), for failure to provide information or keep information current with FINRA.
Maintaining accurate and current registration information is a fundamental requirement for all FINRA-registered persons. FINRA Rule 9552(d) provides the regulator with authority to suspend individuals who fail to meet this obligation, temporarily removing them from the industry until they come into compliance. The suspension is intended to compel the disclosure of required information rather than permanently exclude the individual from the industry.
The registration system serves as a critical transparency mechanism for the securities industry. Investors rely on BrokerCheck to review the background, credentials, and regulatory history of brokers and financial advisers before establishing financial relationships. When registered persons fail to keep their disclosures current, this information becomes unreliable—potentially leaving investors without accurate information about the people managing their money.
FINRA's ability to enforce disclosure obligations through mechanisms like Rule 9552(d) is essential to maintaining the integrity of BrokerCheck and the broader registration system. Suspensions compel compliance with these obligations and signal to the industry that disclosure requirements will be enforced.
Investors who have worked with Hsu should review his current registration status through FINRA BrokerCheck. Investors in California who have concerns about any broker's regulatory standing can also contact the California Department of Financial Protection and Innovation for additional resources and information about securities professionals licensed to operate in the state.