Suihock Goy – Suihock Goy, Arbitration Claim Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses
Suihock Goy is currently registered with NI Advisors in California. According to Suihock Goy’s CRD, an arbitration claim has been filed alleging negligence, breach of fiduciary, duty, negligent supervision in sale of Oil & Gas LP interest. This arbitration claim is currently pending.
FINRA reports that Suihock Goy was previously sanctioned by FINRA. FINRA reports that Suihock Goy and his member firm failed to supervise, provide written approval for, or monitor the registered investment advisory (RIA) activities of its general securities representative (GS) and general securities principal (GP). According to FINRA, the representative conducted 1,445 securities transactions through a ria that was not associated or affiliated with the firm. According to FINRA, the firm and Goy permitted representatives to improperly maintain an association with the firm although they did not conduct any securities or investment banking related business. According to FINRA, two representatives were registered as GSS, whereas another representative was registered as an investment company products / variable contracts representative (IR) with the firm, acting though Suihock Goy, even though they were not engaged in the investment banking or securities business on behalf of the firm. Also, according to FINRA, a representative was registered with the firm, acting through Goy, as a registered options principal (op), even though the firm was not allowed to engage in an options business and never engaged in the options business. The firm, acting through Suihock Goy, sold some 529 plans without registering the firm with the municipal securities rulemaking board (MSRB), as required.
If you lost any money on investments with Suihock Goy, you may be able to recover your losses from NI Advisors. If you lost money on investments with Suihock Goy 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 NI Advisors concerning Suihock Goy’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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Suihock Goy 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.
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