Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Liang (Liang), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Liang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on January 27, 2023.
Claim states breach of contact and fiduciary duty for bonds sold to two clients during 2019.