Complaints Against Ni Advisors’ Shirley Wong

Soreide Law Group is investigating potential claims on behalf of investors who sustained losses due to the actions of Shirley Ank Wong (also known as Ankuan Huang, Kuan An Huang, and Shirley Ankuan Huang) (CRD: 4869184, Daly City, California). She has been registered with NI Advisors since January 7, 2014, as a financial advisor and since November 6, 2014. Notably, there are numerous allegations against Wong, particularly involving GWG L-bonds and The Parking REIT, which have led to various investor complaints.

Ni Advisors Investor Accused Wong Of Negligence Relating To GWG L-Bonds

Evidently, on April 21, 2023, a Ni Advisors client filed a complaint about Shirley Wong. The client particularly alleged that Wong committed violations of federal and California securities laws, engaged in unfair and unlawful business practices, and was negligent in the management of GWG L-bonds and The Parking REIT, which later sought reorganization through bankruptcy. Consequently, the client supposedly sustained damages. Therefore, the client requested $5,000 in compensation either from Ni Advisors or Wong. However, the complaint was withdrawn as of May 19, 2023.

Shirley Wong Disclosed Breach Of Contract Allegations By Ni Advisors Client

Specifically, a client of Ni Advisors contested Shirley Wong's sales practices by filing FINRA Arbitration: 22-02973 on January 3, 2023. Allegedly, Wong breached a contract and was negligent, relating to a bond purchase that occurred in 2018. It appears that Wong caused the client to sustain damages on corporate debt investments. Therefore, the client seeks compensatory relief from Ni Advisors or Wong in the amount of $500,000 in this ongoing matter.

Ni Advisors Investor Accused Wong Of Misrepresentation

On September 10, 2022, a Ni Advisors client filed FINRA Arbitration: 22-02009 about Shirley Wong. Evidently, the client alleged that Wong misrepresented information, failed to supervise, and was negligent. Because of this, the client allegedly sustained damages. Therefore, the client requested $100,000 in compensation from Ni Advisors or Wong. This arbitration is still pending a resolution.

Shirley Wong Disclosed Unsuitable Recommendation And Breach Of Contract Allegations By Ni Advisors Client

Moreover, a client of Ni Advisors contested Shirley Wong's sales practices by filing FINRA Arbitration: 22-01677 on August 2, 2022. Allegedly, Wong made unsuitable recommendations and breached contract concerning GWG L Bonds. It appears that Wong caused the client to sustain damages. Therefore, the client seeks compensatory relief from Ni Advisors or Wong in the amount ranging from $100,000 to $500,000 in this ongoing matter.

Ni Advisors Investor Accused Wong Of Unsuitable Trades And Breach Of Contract

Also, on June 7, 2022, a Ni Advisors client filed FINRA Arbitration: 22-01115 about Shirley Wong. Specifically, the client alleged that Wong engaged in unsuitable trades and breached a contract, relating to activities that occurred in 2020. Therefore, the client requested $505,700 in compensation from Ni Advisors or Wong. This arbitration is still pending a resolution.

Contact Soreide Law Group For Investment Loss Recovery

Did you experience losses because of Shirley Wong? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered money for investors throughout the United States, works on a contingency fee basis, and advances all costs. Wong and the brokerage firms she worked for deny accusations of sales practice violations.