Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained financial losses due to the actions of securities broker Yin Yvonne Zhong (CRD: 3203120, Milpitas, California). Zhong has been affiliated with Ni Advisors since February 22, 2018, and was previously associated with Cetera Investment Services LLC from September 25, 2017, to March 7, 2018. Specifically, Zhong has faced Ni Advisors investors’ allegations including breach of fiduciary duty, suitability, and negligence. Moreover, she has been accused by a Cetera Investment Services LLC client of misrepresentation.
Evidently, on August 10, 2022, a Ni Advisors client initiated FINRA Arbitration: 22-01153 about Yin Zhong. Specifically, the client alleged that Zhong breached his fiduciary duty, demonstrated negligence, and failed to supervise with regards to investments in GWG L-bonds. Because of these actions, the client supposedly suffered damages. The client, therefore, is seeking $30,000 in compensation from either Ni Advisors or Zhong. This arbitration is still awaiting resolution.
Particularly, a client of Ni Advisors contested Yin Zhong’s sales practices by filing FINRA Arbitration: 22-01149. Allegedly, Zhong breached contract, made unsuitable recommendations, and failed to supervise between 2019-2021. It appears that Zhong's actions led the client to sustain damages on corporate bonds. Consequently, Ni Advisors opted to settle the matter on April 6, 2023, by compensating the client in the amount of $112,500.
On April 6, 2018, a client of Cetera Investment Services LLC filed a written complaint about Yin Zhong. In this instance, the client alleged that Zhong made misrepresentations concerning a real estate security. Due to this, the client claimed to have sustained an estimated $25,000 in damages. For this reason, the client requested this amount in compensation from either Cetera Investment Services LLC or Zhong. However, the complaint was denied on June 8, 2018.
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 country. The firm works on a contingency fee basis and advances all costs. Yin Zhong and brokerage firms Ni Advisors and Cetera Investment Services LLC she worked for deny accusations of sales practice violations. Contact Soreide Law Group Online.
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