Investors have come forward with complaints about securities broker Shirley Wong AKA Shirley Ank Wong [CRD#: 4869184, Daly City, CA]. Evidently, the securities broker, who worked for Ni Advisors, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ni Advisors clients allege that Wong made misrepresentations, breached a contract, failed to supervise, and was negligent. For more on these disclosures about Wong, see below.
Ni Advisors Investor Accuses Shirley Wong Of Misrepresentations
Evidently, on September 10, 2022, a Ni Advisors client filed FINRA Arbitration #. 22-02009 about Shirley Wong. Namely, the client alleged that Wong made misrepresentations, breached a contract, failed to supervise, and was negligent. Because of this, the client allegedly sustained damages on corporate bonds. Therefore, the client requested $100,000 in compensation from Ni Advisors or Wong. Evidently, this arbitration is pending a resolution.
Ni Advisors Investor Accuses Wong Of Unsuitable Recommendations
Also, on August 2, 2022, a Ni Advisors client filed FINRA Arbitration #. 22-01677 about Shirley Wong. Namely, the client alleged that Wong made unsuitable recommendations and breached a contract. Because of this, the client allegedly sustained damages on corporate bonds. Therefore, the client requested $100,000 in compensation from Ni Advisors or Wong. Evidently, this arbitration is pending a resolution.
Shirley Wong Discloses Unsuitable Recommendations Allegations By Ni Advisors Client
Evidently, a client of Ni Advisors contested Shirley Wong’s sales practices by filing FINRA Arbitration #. 22-01153 on June 3, 2022. Allegedly, Wong made unsuitable recommendations. Supposedly, the corporate bond transactions caused the client to sustain damages. Therefore, the client seeks compensatory relief from Ni Advisors or Wong in the amount of $50,000 in this ongoing matter.
Ni Advisors Investor Accuses Wong Of Unsuitable Transactions
Also, on June 2, 2022, a Ni Advisors client filed FINRA Arbitration #. 22-01115 about Shirley Wong. Namely, the client alleged that Wong made unsuitable transactions and breached a contract. Because of this, the client allegedly sustained damages on corporate bonds. Therefore, the client requested $505,700 in compensation from Ni Advisors or Wong. Evidently, this arbitration is pending a resolution.
Shirley Wong worked for Ni Advisors in Milpitas, CA, as a securities broker from January 14, 2011 to December 12, 2012. Wong has been associated with Ni Advisors in Daly City, CA, as a securities broker since January 7, 2014.
Damages Resulting From Ni Advisors Securities Broker Shirley Wong?
Have you sustained damages by investing with Shirley Wong? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Wong and brokerage firms Wong worked for deny all accusations of sales practice violations.
