Our Staff has compiled our research into a database of FINRA Broker Disclosures for NI Advisors. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Suihock Goy | 2821380 | 10 | 01/27/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Juan Hua Liang | 6860076 | 2 | 01/27/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Suihock Goy | 2821380 | 10 | 12/28/2022 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Juan Hua Liang | 6860076 | 2 | 09/15/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Suihock Goy | 2821380 | 10 | 08/02/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John C Shen | 4859035 | 3 | 02/09/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John C Shen | 4859035 | 3 | 10/22/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Theodore Hendrickus Franse | 1418012 | 8 | 05/03/2021 | Customer Dispute | Settled | $9,500.00 | $0.00 | See FINRA Report |
| Theodore Hendrickus Franse | 1418012 | 8 | 03/12/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Theodore Hendrickus Franse | 1418012 | 8 | 05/05/2017 | Customer Dispute | Settled | $22,300.00 | $0.00 | See FINRA Report |