Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yi Guo (Guo), currently associated with Univest Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guo 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 $10,000,000.00 on December 24, 2024.
On March 17 2021 two entity clients entered into a stock purchase agreement directly with issuer BAOS. In statement of claim the clients state that they relied on Yi Guo recommendations to enter into the purchase.