Sara Aiping Ng (Sara Eng) a/k/a Sara Aiping Zhou, Aiping Zhou and Sara Zhou, Under Investigation by FINRA Enforcement Department, Fired by Axiom Capital Management, Inc. and Resigned from Financial West Group – Goodman & Nekvasil P.A., May Recover Investo

Goodman & Nekvasil P.A., May Recover Investor Losses – Sara Aiping Ng (Sara Eng) a/k/a Sara Aiping Zhou, Aiping Zhou and Sara Zhou, Under Investigation by FINRA Enforcement Department, Fired by Axiom Capital Management, Inc. and Resigned from Financial West Group

From 2015 until Sara Eng’s firing in 2016, Sara Eng was licensed with Axiom Capital Management, Inc. Sara Eng was subsequently licensed with Moloney Securities Co., Inc. and is now licensed with WestPark Capital, Inc. Sara Eng was previously licensed with Financial West Group and Berthel, Fisher & Company Financial Services, Inc. According to FINRA’s records, Sara Eng was fired by Axiom Capital Management, Inc. on September 8, 2016. Axiom Capital Management, Inc. reported to FINRA that Sara Eng was accused of violating the firm’s policies and procedures regarding email correspondence.

FINRA also reports that from 2014 until Sara Eng’s resignation, Sara Eng was licensed with Financial West Group. According to FINRA records, Sara Eng resigned from Financial West Group on October 19, 2015. Financial West Group reported to FINRA that Sara Eng resigned the next business day after being placed on heightened supervision for potential violation of firm policy regarding marketing of investments to firm customers.

FINRA also reports that Sara Eng is under a pending formal proceeding initiated by FINRA for alleged violations of investment-related rules or regulations. According to FINRA, the Axiom Capital Management, Inc. and Financial West Group termination disclosures were referred to the FINRA Enforcement Department, and are currently pending.

FINRA reports that an arbitration claim involving Sara Eng’s conduct with Berthel Fisher & Company Financial Services, Inc. and Financial West Group has been filed, alleging unsuitable and misrepresented investments and that the firms failed to supervise the actions of Sara Eng and failed to conduct adequate due diligence. This arbitration claim is currently pending and seeks over $1,500,000 in total damages.

If you lost any money on investments with Sara Eng, you may be able to recover your losses from Berthel Fisher & Company Financial Services, Inc., Axiom Capital Management, Inc., Moloney Securities Co., Inc., WestPark Capital, Inc., and/or Financial West Group. This is because Berthel Fisher & Company Financial Services, Inc., Axiom Capital Management, Inc., Moloney Securities Co., Inc., WestPark Capital, Inc., and Financial West Group had a duty to supervise Sara Eng.

If you lost money on investments with Sara Eng, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Berthel Fisher & Company Financial Services, Inc., Axiom Capital Management, Inc., Moloney Securities Co., Inc., WestPark Capital, Inc., and/or Financial West Group concerning Sara Eng’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Sara Eng and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.  

 

Keywords: Sara Aiping Ng, FINRA, Sara Eng, Sara Ng, Axiom Capital Management, Moloney Securities, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities 

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