DID SUIHOCK GOY CAUSE YOU INVESTMENT LOSSES?
Suihock Goy Of NI Advisors Has 5 Customer Complaints For Alleged Broker Misconduct
Who is Suihock Goy of NI Advisors?
Suihock Goy (CRD #2821380) who is currently registered as a broker and investment adviser with NI Advisors and located in Milpitas California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to NI Advisors, Suihock Goy was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Suihock Goy has had his own regulatory problems. He was censured and fined by FINRA for failing to supervise registered investment advisory activities and a representative who conducted 1445 transactions through an RAA that was not associated or affiliated with the firm.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Suihock Goy Customer Complaints
Suihock Goy has been the subject of 5 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by White Pacific Securities for the advisors alleged misconduct in favor of the investor. There are currently 4 FINRA arbitration proceedings pending against NI Advisors for Suihock Goy’s alleged misconduct.
Allegations Against Suihock Goy
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Breach of contract, violation of securities statutes, breach of fiduciary duty, and other claims under common law.
- Breach of contract and fiduciary duty for sale of bonds to clients.
- Breach of contract, negligence, and negligent supervision related to corporate debt transactions.
- Unsuitable investment recommendations, breach of contract, lack of supervision related to concentration of GWG L bonds in a customer’s account.
- Failure to follow customers instructions.
Suihock Goy Red Flags & Your Rights As An Investor
Of course, Suihock Goy did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Suihock Goy at NI Advisors on alert to review carefully the activity and performance of their accounts and question whether Suihock Goy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NI Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At NI Advisors Due To Suihock Goy
If you have questions about NI Advisors and/or Suihock Goy and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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