Juan Hua Liang (also known as Joyce Liang and as Juanhua Liang), of Daly City, California, a stockbroker registered with NI Advisors, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $1,000,000.00 in damages based upon alleged breach of fiduciary duty and breach of contract in connection with the sale of GWG Holdings Class L Bonds during the time that Liang was associated with NI Advisors. FINRA Arbitration No. 23-00175 (January 27, 2023).
This is not the first issue concerning Liang’s conduct in the securities industry. FINRA Public Disclosure additionally shows that on March 29, 2024, a customer initiated investment related FINRA securities arbitration claim involving Liang’s conduct was settled for $19,910.41 in damages based upon alleged negligence, fraud, and unsuitable investment recommendations of GWG Holdings Class L Bonds also when Liang was associated with NI Advisors. FINRA Arbitration No. 22-02078.
Liang has been associated with NI Advisors in Daly City, California since December 21, 2017.
