Shuang Guo (CRD #6728775) Has Customer Dispute and Termination Disclosures on FINRA BrokerCheck
Shuang Guo (CRD #6728775) has been the subject of disclosure events, which have recently been reported on the broker’s FINRA BrokerCheck Report. According to Shuang Guo’s FINRA BrokerCheck report accessed on January 18, 2026, Shuang Guo has been the subject of two customer disputes and one employment separation after allegations. If you invested with Shuang Guo and you have concerns about the broker’s activity, keep reading.
BrokerCheck link: BrokerCheck
BrokerCheck report: BrokerCheck Report (PDF)
Employment Separation After Allegations
Shuang Guo’s FINRA BrokerCheck Report reflects one employment separation after allegations disclosure. A summary of the separation is below:
On November 20, 2025, Shuang Guo was discharged from LPL Enterprise, LLC following allegations that Shuang Guo did not safeguard a client’s personally identifiable information while using an unapproved messaging platform.
Investor Disputes / Customer Complaints
Shuang Guo’s FINRA BrokerCheck Report reflects two customer dispute disclosures. A summary of the disputes is below:
On October 2, 2025, a complainant alleged that account changes were made without the client’s signature. The employing firm listed on the disclosure is LPL Enterprise, LLC and the product type listed is Variable Life Insurance. The matter was denied on October 22, 2025. The disclosure includes a broker statement from Shuang Guo disputing the allegations.
On June 23, 2020, a customer alleged that Shuang Guo failed to disclose charges, expenses and fees, and did not fully disclose all the facts regarding purchasing a Life Insurance as Long Term Care. The employing firm listed on the disclosure is Pruco Securities, LLC and the product type listed is Insurance. The matter was denied on July 1, 2020.
Rule summary #1: FINRA Rule 4511 (General Requirements)
FINRA Rule 4511 requires member firms to make and preserve books and records as required under FINRA rules and federal securities laws. This includes maintaining records of business-related communications and activities in a compliant format.
Rule summary #2: FINRA Rule 2210 (Communications with the Public)
FINRA Rule 2210 requires member communications to be fair and balanced and prohibits omitting material facts if doing so would make the communication misleading. These standards can be relevant in matters involving alleged failures to disclose fees, expenses, or other material information.
Why this Matters to Investors (Regulation Best Interest)
Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.
Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.
Reg BI is built around four key obligations:
- Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
- Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
- Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
- Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.
Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.
Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.
Background Information (from BrokerCheck)
Based on Shuang Guo’s BrokerCheck Report, Shuang Guo:
- Is not currently registered with a brokerage firm.
- Has passed the Securities Industry Essentials (SIE), Series 7, Series 6, Series 66, and Series 63 exams.
- Was previously registered with firms that include LPL Enterprise, LLC and Pruco Securities, LLC.
Kurta Law Can Help
If you have worked with Shuang Guo and you have concerns about the broker’s activity, Kurta Law may be able to help you evaluate potential recovery options. You may be entitled to pursue a claim through FINRA arbitration, depending on the facts of your situation and the investments involved. Contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
Helpful resources: Unauthorized Trading | Misrepresentation and Omission
For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable—because investors should not have to sit quietly while alleged misconduct and securities fraud go unchecked. Start your recovery process today.