Shirley Ank Wong, Broker with NI Advisors, Named in Customer Disputes Alleging Failure to Supervise and Unsuitable Recommendations

INVESTORS: NI Advisors broker Shirley Ank Wong was named in a customer dispute alleging failure to supervise and unsuitable investment recommendations.

Shirley Ank Wong (CRD#: 4869184) is registered as a broker with NI Advisors, where she’s been employed since 2014. Wong was previously registered as a broker with World Group Securities from 2007 until 2008.

Wong has four disclosures on her BrokerCheck report. 

September 2022 Customer Dispute

Status: Pending

Allegations: Client claims misrepresentation, breach of contract, failure to supervise, negligence, violation of rules, etc. Client purchased bond in 2018.

Damage Amount Requested: $100,000.00

August 2022 Customer Dispute

Status: Pending

Allegations: Client claims unsuitable recommendation, breach of contract, etc. with concentration of $200,000 of GWG L-bonds and $50,000 withdrawal. Our records show that client purchased $150,000 of the product during 2018.

Damage Amount Requested: $100,000.00

June 2022 Customer Dispute

Status: Pending

Allegations: Claimants allege unsuitable trades, breach of contract, etc. which occurred in 2020.

Damage Amount Requested: $505,700.00

June 2022 Customer Dispute

Status: Pending

Allegations: Claimant alleges unsuitable recommendation of GWG bond. However, there is no record of purchase.

Damage Amount Requested: $50,000.00

Broker Comment: We show no record of purchase.

If you have any information about Shirley Ank Wong that you would like to share or discuss, please call our firm for a confidential consultation. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.