Soyoung Yom – Los Angeles, CA NYLife Securities: Investor Red Flags, Complaint History, and What Investors Need to Know
Table of Contents
Haselkorn & Thibaut (investmentfraudlawyers.com) has opened an independent investigation into Soyoung Yom (CRD# 4243462), a Los Angeles, California financial advisor currently registered with NYLife Securities. Our goal is to inform and protect investors who may have concerns about their investments, as well as provide guidance on navigating potential issues involving their financial advisor. With over 50 years of experience, a 98% success rate, and millions recovered for clients nationwide, our team at Haselkorn & Thibaut is dedicated to fighting for investors. If you believe you have suffered investment losses related to Soyoung Yom or any NYLife Securities advisor, call us today at 1-888-994-8066 for a free and confidential consultation. No recovery, no fee.
Who Is Soyoung Yom?
Soyoung Yom is a financial advisor based in Los Angeles, California. She has an extensive background in the securities industry, holding 24 years of professional experience. Soyoung Yom is currently registered as a broker with NYLife Securities and holds various credentials, including:
- Securities Industry Essentials Examination (SIE)
- Investment Company Products/Variable Contracts Representative Examination (Series 6)
- Uniform Securities Agent State Law Examination (Series 63)
- Life/Health Insurance Licenses in New York, New Jersey, and Connecticut
Over the course of her career, she has also held positions at Pruco Securities and WMA Securities, and maintains her registration primarily in California.
Investor Complaints and Disclosures Against Soyoung Yom
One of the most important steps you can take as an investor is checking the background and complaint history of your advisor. As of October 2025, public records and FINRA’s BrokerCheck provide the following information regarding Soyoung Yom’s disclosure events:
| Disclosure Type | Status | Details |
|---|---|---|
| Customer Complaints | 1 (Pending) |
|
| Regulatory Actions | None | No SEC, FINRA, or state disciplinary actions |
| Arbitrations/Civil Litigations | None | No arbitrations, lawsuits, or bankruptcy filings |
| Media/News Reports | None | No negative press or reported settlements |
Aside from the August 2025 pending complaint, there are no other reported customer complaints, regulatory actions, or litigation involving Soyoung Yom based on the most recent reviews of public records, FINRA, SEC, PACER (federal court), and state insurance regulator databases.
Understanding the Current Complaint Against Soyoung Yom
The pending investor complaint alleges significant concerns involving variable universal life insurance policies. The main issues highlighted are:
- Lack of transparency in policy explanation: The client claims they did not receive a complete or clear explanation of the variable universal life insurance, which can be complex and risk-oriented.
- Unauthorized transfer of ownership: The client alleges that ownership of the policy was changed to Soyoung Yom without their knowledge or consent.
FINRA Rule 2111 requires that brokers only recommend investments or strategies that are suitable for a customer’s personal situation, goals, and risk tolerance, based on reasonable diligence. Additionally, brokers must avoid any manipulative, deceptive, or fraudulent behavior (FINRA Rule 2150) and uphold high standards of commercial honor and just and equitable principles of trade (FINRA Rule 2010). Any deviation from these standards—such as failing to disclose important information or misrepresenting product features—could result in liability for investor losses.
Latest Regulatory Background Check: No Historical Red Flags
Our independent review reveals that, except for the recent pending complaint, Soyoung Yom has no prior disclosure events.
- FINRA BrokerCheck: Only one pending client complaint (from September 2025), no arbitration, regulatory, or bankruptcy filings.
- Sec Enforcement Actions: None found in U.S. SEC records.
- PACER/Federal Court: No civil, criminal, or administrative litigation found.
- State Insurance Regulators: No consumer complaints or disciplinary actions in California, New York, New Jersey, or Connecticut.
- Media & News: No public news reports of settlements, investigations, or customer disputes.
While Soyoung Yom’s record shows a long and apparently clean history, the recent customer complaint is a reminder that investors should always be vigilant and review their advisors regularly.
What Should Investors Do If They Have Concerns?
If you have invested with Soyoung Yom or NYLife Securities and have questions about your investments or financial products—especially variable universal life insurance policies—you may want to proactively review your account statements and communications for possible red flags or unexplained account activity.
Be alert for the following:
- Investments you don’t understand or didn’t agree to
- Transfers of ownership or changes in account beneficiaries you did not authorize
- High-risk products not suited to your age or objectives
- Lack of clarity regarding fees and commissions
- Sudden or unexplained account losses
If any of these situations apply to you, it may be in your best interest to seek a free, confidential consultation with a trusted investment fraud law firm.
The Haselkorn & Thibaut Advantage: Experienced Investor Advocates
Haselkorn & Thibaut is a national investment fraud law firm with over 50 years of combined securities law experience. We have a strong track record—98% success rate and millions recovered—for representing investors in claims against brokers and financial firms. We work on a no recovery, no fee basis, so you have no upfront cost.
- What you get: Nationwide representation
- Experienced legal team focused exclusively on investor losses
- Personalized guidance based on your circumstances
- Skilled negotiations and professional advocacy
Contact us today at 1-888-994-8066 for your free consultation and have an experienced advocate review your case. If you have concerns about your investments with Soyoung Yom or NYLife Securities in Los Angeles or anywhere in the United States, protect your rights and get clarity on your options.
Your financial security is important. Don’t wait for small issues to become bigger problems. Call Haselkorn & Thibaut today at 1-888-994-8066.
