Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.”
Henry Nguyen (CRD #5815024, Registered Representative, San Jose, California)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Nguyen consented to the described sanction and to the entry of findings that he engaged in a scheme to sell bank customer profile information to an unauthorized individual. Nguyen used bank resources to target bank customers who met a certain demographic profile, and then used their bank customer account numbers to access their bank customer signature cards and forwarded this information to the unauthorized individual, expecting to receive payment for each set of information he provided. The findings stated that this conduct resulted in unauthorized withdrawals from bank customer accounts. (FINRA Case #2013036054002)
According to FINRA's BrokerCheck, Henry Nguyen was previously registered with FINRA at the following brokerage firms:
J.P. MORGAN SECURITIES LLC
CRD# 79
SAN JOSE, CA
10/2012 - 02/2013
CHASE INVESTMENT SERVICES CORP.
CRD# 25574
SAN JOSE, CA
03/2011 - 10/2012
U.S. BANCORP INVESTMENTS, INC.
CRD# 17868
LOS ALTOS, CA
10/2010 - 02/2011
This ends the information obtained from FINRA’s website.
Soreide Law Group represents clients nationwide before FINRA. If you have sustained investment losses due to your stock broker/financial advisor’s recommendations, call for a free consultation with an attorney on how to potentially recover those losses: 888-760-6552.
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