DOL Unveils Final Fiduciary Rule for Retirement Accounts
The U.S. Department of Labor o...
25 April, 2024 No comment
Grace Guo is a broker registered with Cetera Investment Services. She is a Financial Adviser at the Monterey Park branch of Cathay Bank. According to FINRA’s BrokerCheck, Grace Guo is the subject of 2 regulatory disclosures.
Peiffer Wolf is currently investigating claims against Grace Guo of Cetera Investment Services for her recommendation of alternative investments. If you’ve invested with Grace Guo, Contact Us by calling 585-310-5140 or by filling out an online Contact Form for a FREE Consultation.
Grace Guo | Cetera Investment Services
According to FINRA’s BrokerCheck, Grace is the subject of 2 Regulatory Disclosures:
- August 2021 – Customer Dispute; Pending. Amount requested: $250,000. Allegations: unsuitable investments.
- October 2020 – Customer Dispute; Settled. Amount: $40,000. Allegations: unsuitable investments.
Prior to Cetera Investment Services, Grace Guo was registered with LPL Financial, Cetera Investment Advisers, Uvest Financial Services, UCB Investment Services, IFMG Securities, and Pruco Securities Corporation.
To review Grace Guo’s Brokercheck report, click here:
Grace Guo Client?
Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their clients. Their broker-dealer (employing brokerage firm) has a legal and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
Based on our experience, we believe that some investors may have been the victims of Grace Guo’s alleged broker misconduct and investment fraud. If you invested with Grace Guo of Cetera Investment Services, contact Peiffer Wolf immediately for a FREE Consultation: 585-310-5140.
FREE Consultation | 585-310-5140
If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf has represented thousands of victims, and we remain committed to fighting on behalf of investors.
Peiffer Wolf is currently investigating claims against Grace Guo of Cetera Investment Services for her recommendation of alternative investments. If you’ve invested with Grace Guo, Contact Us today by filling out a Contact Form or by calling 585-310-5140 to schedule a FREE Case Evaluation.
Get a FREE case Evaluation.
"*" indicates required fields
Bad Brokers in the news
-
-
Who Can You Trust for Retirement Advice? New Rules Strengthen Protections.
When you walk into a financial...
24 April, 2024 No comment
Brokercheck®️ report
