Investors potentially experienced sales practice violations by securities broker Lily Elizabeth Li [CRD: 1741746, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Li has worked with Tigress Financial Partners LLC since April 19, 2016, and she previously served as an investment adviser representative with the same firm from October 24, 2019, to December 31, 2023. Continue reading to discover more about Li’s disclosures and the concerns raised by clients.
Evidently, on April 17, 2025, a Tigress Financial Partners client filed FINRA Arbitration No. 25-00767 about Lily Li. Primarily, the client alleged unsuitable trading. Because of this, the client allegedly sustained damages connected to private placements. Consequently, the client requested $250,000 in compensation from Tigress Financial Partners or Li. It appears that this arbitration is awaiting a resolution.
Notably, a client of Raymond James Financial Services Inc. disputed Lily Li’s sales practices, according to a complaint. Allegedly, Li made unsuitable recommendations. It appears that Li allegedly caused the client to sustain damages linked to debt and foreign investments. Therefore, Raymond James Financial Services Inc. opted to settle the matter on August 24, 2016, by compensating the client in the amount of $5,610.42.
Also, on March 7, 2011, a Merrill Lynch Pierce Fenner Smith Incorporated client filed a complaint about Lily Li. Mainly, the client alleged that Li engaged in unauthorized trading. For this reason, the client allegedly incurred damages associated with mutual funds. As a result, the client requested compensation from Merrill Lynch Pierce Fenner Smith Incorporated or Li.
Particularly, a client of Chase Investment Services Corp. contested Lily Li’s sales practices, based on a complaint dated March 17, 2009. Allegedly, Li made misrepresentations. It appears that Li allegedly caused the investor to sustain damages connected to variable annuities. Consequently, the client sought compensation from Chase Investment Services Corp. or Li in the amount of $153,343.67 in this matter.
Did you experience losses because of Lily Li? Contact Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Li and brokerage firms Li worked for deny allegations of sales practice violations.
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