Lei Shen (also known as Peter Shen), of Orange, 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 $1,500,000.00 in damages based upon allegations that Shen made unsuitable investment recommendations and overconcentrated accounts in business…
Pierre Michael Hilario of Milpitas, California, a stockbroker registered with NI Advisors, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Hilario refused to comply with FINRA’s investigation into his involvement in private placement offerings. Letter of Acceptance, Waiver, and Consent No. 2020066757801 (August 17, 2023). According…
Suihock Goy of Milpitas, California, a stockbroker registered with Ni Advisors Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,000.00 to $500,000.00 in damages based upon allegations that Goy breached a contract and breached his fiduciary duties in connection with…
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…