Soreide Law Group is investigating possible investor claims against securities broker Yin Yvonne Zhong AKA Yvonne Zhong [CRD#: 3203120, Los Gatos, CA]. Zhong worked for (1) NI Advisors from 2018-Present; (2) Cetera Investment Services from 2017-2018; and (3) LPL Financial LLC from 2017-2017.
Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one or more N.I. Advisors and Cetera Investment Services clients disputed the sales practices of the securities broker. Here is a brief summary of the disclosures about Zhong:
NI Advisors Client Accuses Yin Zhong Of Breach Of Contract
Evidently, on June 7, 2022, a NI Advisors client filed FINRA Arbitration #: 22-01149 about Yin Zhong. Specifically, the client alleged that Zhong made unsuitable recommendations, breached a contract, and failed to supervise. For this reason, the client purportedly experienced damages relating to investments in corporate bonds. Therefore, the client requested $5,000 in compensation from NI Advisors or Zhong. Specifically, this arbitration is pending a resolution.
Also, a client of Cetera Investment Services contested Yin Zhong’s sales practices, according to a complaint dated April 6, 2018. Supposedly, Zhong made misrepresentations. Allegedly, the real estate securities transactions connected to this securities broker caused the client to sustain damages. Therefore, the client sought compensatory relief from Cetera Investment Services or Zhong in the amount of $25,000.
Damages Resulting From NI Advisors Securities Broker Yin Zhong?
Have you experienced damages because of investing through securities broker Yin Zhong? If so, get in touch with Soreide Law Group at (888) 760-6552 and discuss your situation with a securities attorney regarding a possible recovery of your investment damages. Soreide Law Group, who has successfully recovered money for investors throughout all 50 states, represents clients on a contingency fee basis and advances all costs. Zhong and brokerage firms Zhong associated with deny any and all allegations of sales practice violations.
