Investors potentially experienced sales practice violations due to securities broker Yi Guo [CRD: 6246079, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Yi Guo has been a registered broker with Univest Securities LLC in New York, New York, since April 21, 2016. Keep reading to find out more about the disclosures involving Yi Guo.
On January 15, 2025, the Financial Industry Regulatory Authority (FINRA) initiated an investigation into Yi Guo. The investigation was prompted after two clients filed a Statement of Claim with FINRA regarding their 2021 investment in an initial public offering (IPO). This is an ongoing investigation.
Particularly, on December 24, 2024, Univest Securities LLC clients filed FINRA Arbitration No. 24-02689 about Yi Guo. Evidently, the clients alleged that Guo made recommendations that led the clients to execute a stock purchase arrangement with BAOS. Because of this, the clients allegedly sustained damages. Therefore, the clients requested $10,000,000.00 in compensation from Univest Securities LLC or Guo. Evidently, this arbitration is pending a resolution.
An allegation of unsuitable recommendations generally means that a broker recommended investments that were not appropriate for the client based on that individual’s financial situation, investment objectives, or risk tolerance. These types of allegations often center on the broker’s failure to match the investment strategy to the client's needs.
Did you experience losses because of Yi Guo? Feel free to contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney about a possible recovery of investment-related losses. Soreide Law Group has helped recovered losses for investors throughout the United States, takes cases on a contingency fee basis, and advances all costs. Guo and brokerage firms Guo worked for deny any allegations of sales practice violations.
FRANCISCO M GOMEZ (FRANCISCO MANUEL GOMEZ, FRANK GOMEZ) has been suspended by FINRA from acting as a broker with a start date of 4/6/2026. The “Regulatory” disclosure was dated 3/13/2026. The allegations against Gomez were, “Respondent Gomez failed to respond to FINRA requests for information.” The duration of the suspension was listed as, “Continues until […]
Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]
Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record. Raymond James Investor Accused […]
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