Ni Advisors

There are Recent Customer Complaints with Broker Alfred Chan in Firm Ni Advisors

January 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Chan (Chan), previously associated with Ni Advisors, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Chan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 27, 2024.

Chan made misrepresentations, and employed a device, scheme, or artifice to defraud investment advisory clients, engaged in a transaction, practice, or course of business which operates as a fraud or deceit upon clients, or engaged in an act, practice, or course of business which is fraudulent, deceptive, or manipulative, in violation of sections 25401 and 25235 of the CSL

There are Recent Customer Complaints with Broker Suihock Goy in Firm Ni Advisors

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suihock Goy (Goy), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Goy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,950,000.00 on October 25, 2025.

Claim purports unsuitable recommendation of corporate bond in which the issuer subsequently declared bankruptcy. Bond purchases were made in 2019 by four individuals in this combined case.

There are Recent Customer Complaints with Broker Yin Zhong in Firm Ni Advisors

November 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yin Zhong (Zhong), previously associated with Ni Advisors, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zhong 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 $30,000.00 on August 10, 2022.

Allegations of breach of fiduciary duty, suitability, negligence, failure to supervise regarding investment in GWG L-bonds which subsequently sought reorganization through bankruptcy. Five year bond investment occurred in 2019.

There are Recent Customer Complaints with Broker David Bulow in Firm Ni Advisors

October 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Bulow (Bulow), previously associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Bulow recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $165,000.00 on April 29, 2025.

Claims of fraud, suitability, breach of contract and fiduciary duty, negligence in connection with investment of corporate bond during 2019 in which issuer later declared bankruptcy.

There are Recent Customer Complaints with Broker Juan Liang in Firm Ni Advisors

September 23, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Suihock Goy in Firm Ni Advisors

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suihock Goy (Goy), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Goy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $190,000.00 on May 10, 2025.

This representative was not involved in the transaction. He is the firm owner and supervisor of the representative for the client. Claimant alleges unsuitability, negligence, etc. Regarding 2018-2020 purchases of corporate bond after issuer declared bankruptcy. Issuer is current in the process of executing wind-down trust with intended distributions to bond holders.

There are Recent Customer Complaints with Broker Theodore Franse in Firm Ni Advisors

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Franse (Franse), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Franse recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $190,000.00 on May 10, 2025.

Claimant alleges unsuitability, negligence, etc. Regarding 2018-2020 purchases of corporate bond after issuer declared bankruptcy. Issuer is current in the process of executing wind-down trust with intended distributions to bond holders.

There are Recent Customer Complaints with Broker Theodore Franse in Firm Ni Advisors

June 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Franse (Franse), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Franse recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $13,940.75 on December 20, 2023.

According to Independent Financial Group, client alleges investment was not suitable and was not in line with client’s stated investment objectives and risk tolerance, and no investment in\<char_lb_r>\, Northstar located for [REDACTED].

There are Recent Customer Complaints with Broker Norman Meyer in Firm Ni Advisors / Vestech Securities, INC.

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Meyer (Meyer), currently associated with Ni Advisors / Vestech Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $650,000.00 on July 18, 2024.

Unsuitable investments in variable annuities and non traded REITS. Basic statements received from investments.

There are Recent Customer Complaints with Broker Norman Meyer in Firm Ni Advisors / Vestech Securities, INC.

April 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Meyer (Meyer), currently associated with Ni Advisors / Vestech Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $650,000.00 on July 18, 2024.’, ‘Unsuitable investments in variable annuities and non-traded REITS. Basic statements received from investments.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened. Reg BI is drawn from fiduciary principles that include an obligation to act in the retail investor’s best interest and the broker is prohibited from placing their own interests ahead of the investor’s interest.