Investment Loss Options for Clients of Ni Advisors Broker Shirley Wong

GWG Holdings Inc.

Were you the victim of Ni Advisors broker Shirley Wong (CRD# 4869184) who is accused of GWG Holdings Inc. L Bond losses? She has been registered with Ni Advisors in Daly City, California since 2014. 

Shirley Wong Customer Complaints

She has been the subject of three customer complaints in 2022, according to her CRD report:

August 2022. “Client claims unsuitable recommendation, breach of contract, etc. with concentration of $200,000 of GWG L-bonds and $50,000 withdrawal. Our records show that client purchased $150,000 of the product during 2018.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint was regarding corporate debt.

June 2022. “Claimants allege unsuitable trades, breach of contract, etc. which occurred in 2020.” The customer is seeking $505,700 in damages and the case is currently pending. The complaint was regarding corporate debt.

June 2022. “Claimant alleges unsuitable recommendation of GWG bond. However, there is no record of purchase.” The customer is seeking $50,000 in damages and the case is currently pending. The complaint was regarding corporate debt.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Ni Advisors may be liable for investment or other losses suffered by Shirley Wong’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

Did You Lose Money Investing with Robert Vance?

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form below for a free consultation.

"*" indicates required fields

Please do not include any confidential or sensitive information in this form. Submitting this form does not create an attorney-client relationship.