Haselkorn & Thibaut has opened an investigation into Soyoung Yom, a Los Angeles, California-based financial advisor registered with NYLife Securities (CRD# 4243462). If you are an investor with questions about your experience with Soyoung Yom or have concerns about your investments, we encourage you to read this comprehensive report. Our goal is to provide clear, factual information to help you stay informed and protect your financial interests.
Who Is Soyoung Yom (NYLife Securities, Los Angeles, CA)?
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Soyoung Yom is a registered broker with NYLife Securities based in Los Angeles, California, with a career in the financial services industry spanning 24 years. Since 2008, she has maintained her registration with NYLife Securities and previously worked at firms such as Pruco Securities and WMA Securities. Ms. Yom is currently licensed in the state of California and holds several industry exam qualifications, including:
- Securities Industry Essentials Examination (SIE)
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
- Series 63 – Uniform Securities Agent State Law Examination
Her professional background meets the stringent requirements set by regulatory bodies, such as the Financial Industry Regulatory Authority (FINRA), and she remains actively registered to offer securities products through NYLife Securities.
Review of Recent Investor Complaints
Haselkorn & Thibaut is actively investigating a recently disclosed investor complaint against Soyoung Yom. According to public records, one customer dispute was filed in September 2025. The primary allegation states that, in her capacity as a representative of NYLife Securities, Ms. Yom:
- Failed to fully explain the details of variable universal life insurance policies sold to her parents in 2013
- Allowed the ownership of these insurance policies to be transferred to her without adequate knowledge or consent
- The complaint is currently pending and seeks unspecified damages
| Complaint Date | Nature of Allegation | Status | Claimed Damages |
|---|---|---|---|
| September 2025 | Failure to adequately explain VUL policies; unauthorized transfer of ownership | Pending | Unspecified |
It is important to note that this is the only investor complaint currently reported. As of the most recent update, there are no other disclosures of customer complaints, arbitrations, regulatory actions, or criminal matters involving Soyoung Yom on her public record.
Regulatory Requirements and Investor Suitability
As an NYLife Securities broker, Soyoung Yom is required by FINRA rules to prioritize client interests, specifically when recommending investment products and insurance solutions. According to FINRA Rule 2111 (Suitability), a registered advisor must:
- Have a reasonable basis for believing a recommended investment is suitable for the customer’s financial situation, experience, and objectives
- Gather necessary details about each client’s investment profile to provide appropriate advice
Additionally, FINRA Rule 2150 prohibits using manipulative, deceptive, or fraudulent practices, while Rule 2010 mandates a high standard of commercial honor and fair dealing. This means advisors may not misrepresent or omit essential facts about recommended investments or products, as these actions could lead clients to purchase unsuitable or harmful products.
Summary of Soyoung Yom’s Disclosures
Upon reviewing the most recent public databases and regulatory filings, including FINRA’s BrokerCheck, here is a summary of Soyoung Yom’s record:
- 1 Customer Complaint – Pending (as detailed above)
- No Regulatory Actions – No reported disciplinary actions by FINRA or the SEC
- No Civil or Criminal Proceedings – No lawsuits or criminal actions found related to securities activity
- No Arbitration Filings – No arbitration awards or settlements in securities disputes
If you have concerns about your investments or the advice received from Soyoung Yom or NYLife Securities, it’s crucial to conduct thorough due diligence. Regulatory filings may change over time, and new allegations may arise, so ongoing monitoring is recommended.
Key Takeaways for Investors
- Soyoung Yom is a registered broker in Los Angeles, CA affiliated with NYLife Securities
- She has one known customer complaint, currently under review
- No indications of criminal, regulatory, or civil issues in her background
- FINRA rules require brokers to provide suitable, transparent advice in the client’s best interest
If you are an investor concerned about your account with Soyoung Yom or have experienced similar issues regarding variable universal life products or other investment recommendations, it’s important to know your rights. Timely action can be critical when seeking to protect your interests and recover losses, if appropriate.
What Should You Do Next?
The experienced team at Haselkorn & Thibaut offers free, confidential consultations to help you review your case and understand your options. With a national presence, over 50 years of experience, a 98% success rate, and a “no recovery, no fee” commitment, our mission is to guide investors through challenging situations involving potential advisor misconduct or unsuitable investment recommendations.
If you believe you may have been impacted by the events described above, or if you have additional questions about Soyoung Yom or NYLife Securities, contact Haselkorn & Thibaut today at 1-888-994-8066.
Take the first step toward protecting your financial future. Our team is here to help.
