Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mingqi Li (Li), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Li recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 06, 2026.
Negligence, misrepresentation and omission of material facts, failure to meet suitability obligations, violations of California’s ‘Blue Sky’ law, breach of fiduciary duty, breach of contract