Shirley Ank Wong (also known as Kuan An Huang or Shirley Ankuan Huang), of Daly City, CA, a stockbroker registered with Ni Advisors, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Wong made misrepresentations of material fact, breached a contract, and was negligent in connection with the recommendation and sale of GWG Class L-bonds when Wong was associated with Ni Advisors. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-02009 (September 10, 2022). The claim also alleges that Ni Advisors failed to supervise Wong’s activities.
FINRA Public Disclosure shows that Wong has been referenced in three other customer initiated investment related disputes concerning Wong’s conduct while associated with Ni Advisors. On June 2, 2022, a customer filed an investment related FINRA securities arbitration claim involving Wong’s conduct in which the customer requested $505,700.00 in damages based upon allegations that Wong made unsuitable recommendations and breached a contract in connection with the sale of corporate bonds. FINRA Arbitration No. 22-01115.
Wong is also referenced in a FINRA securities arbitration claim in which the customer requested $50,000.00 in damages based upon allegations that Wong made unsuitable recommendations of GWG L-bonds. FINRA Arbitration No. 22-01153 (June 3, 2022).
On August 2, 2022, another customer filed an investment related FINRA securities arbitration claim involving Wong’s conduct in which the customer requested $100,000.00 in damages based upon allegations that Wong made unsuitable recommendations and breached a contract in connection with the sale of GWG L-bonds. FINRA Arbitration No. 22-01677.
Wong has been associated with Ni Advisors in Daly City, CA, as a stockbroker since January 7, 2014, and as an investment advisor representative since November 6, 2014.
