In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Investors potentially incurred losses because of securities broker Shuang Guo (also known as Grace Guo) [CRD: 6728775, Myrtle Beach, South Carolina], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Guo worked for AC Sunshine Securities LLC from September 26, 2022, to May 15, 2023; Pruco Securities LLC from April 26, 2023, to November 14, 2024; Prudential Financial Planning Services from September 27, 2023, to November 14, 2024; and LPL Enterprise LLC from November 14, 2024, to December 19, 2025. Guo has been registered with Kovack Securities Inc. and Kovack Advisors Inc. since March 26, 2026. Investors are encouraged to continue reading to learn more about Guo’s disclosures.
Evidently, an LPL Enterprise client disputed Shuang Guo’s sales practices in a complaint dated October 2, 2025. Allegedly, Guo changed an account without obtaining the client’s signature. LPL Enterprise denied the complaint on October 22, 2025.
Additionally, on November 20, 2025 LPL Enterprise disaffiliated with Guo. Notably, the firm alleged that Guo did not adequately protect a client’s personally identifiable information while communicating through an unapproved messaging platform.
Also, on June 23, 2020, a Pruco Securities LLC client filed a complaint about Guo. The client alleged that Guo made omissions concerning fees, expenses, charges, and details about purchasing life insurance for long-term care purposes. The firm denied the complaint on July 1, 2020.
Are you concerned about investments you made through Shuang Guo? Get in touch with Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the US. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Guo and brokerage firms Guo worked for deny allegations of sales practice violations.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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