Soreide Law Group is investigating possible investor claims against Mei Xia Guo (also known as Grace Guo) (CRD: 4201624, Monterey Park, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Investment Services LLC. Notably, one or more investors alleged misconduct in these disputes, including that Guo made unsuitable recommendations. Here is a brief summary of the disclosures about Guo.
Evidently, a Cetera Investment Services LLC client filed FINRA Arbitration: 22-01206 about Mei Guo. Namely, the client alleged that Guo provided unsuitable advice. Because of this, the client allegedly sustained damages on real estate securities. Therefore, on May 12, 2023, Cetera Investment Services LLC settled this matter by paying the client $35,000 in damages.
Also, a Cetera Investment Services LLC client filed FINRA Arbitration: 21-01992 about Mei Guo. Namely, the client alleged that Guo made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate securities. Therefore, on August 24, 2022, Cetera Investment Services LLC settled this matter by paying the client $80,000 in damages.
Particularly, a client of Cetera Investment Services LLC contested Mei Guo’s sales practices by filing FINRA Arbitration: 20-03399. Allegedly, Guo provided unsuitable advice. It appears that Guo caused the client to sustain damages on REITs (real estate investment trusts). Therefore, Cetera Investment Services LLC opted to settle the matter on March 30, 2022, by compensating the client in the amount of $40,000.
Guo joined Cetera Investment Services LLC as a securities broker in September 2017. Guo has worked for Cetera Investment Advisers LLC as a financial advisor since September 2017.
Have you sustained damages due to securities broker Mei Guo? If you have, reach out to Soreide Law Group at (888) 760-6552 and speak with an experienced securities attorney regarding a potential recovery of your investment losses. Soreide Law Group, who has effectively recovered money for investors within all 50 states, represents clients on a contingency fee basis and advances costs. Guo and brokerage firms Guo worked for deny any and all accusations of sales-related misconduct.
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
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