Soreide Law Group is investigating possible investor claims against securities broker Doan Nguyen [CRD: 6554242, Vancouver, BC]. Notably, FINRA sanctioned the securities broker, who worked for Raymond James (USA) Ltd. Allegedly, Nguyen failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s allegations against Nguyen.
Specifically, on April 21, 2022, FINRA issued Case: 2021071260701, which contains sanctions against Doan Nguyen for infractions. Notably, Nguyen was barred as a securities broker. Mainly, FINRA alleged that Nguyen failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules.
Namely, FINRA says that on January 31, 2022, in connection with FINRA’s investigation of the accusation that Nguyen participated in an undisclosed outside business activity, FINRA sent Nguyen a request seeking the production of information and documents. On February 25, 2022, Nguyen indicated to FINRA staff that she had received the request but would not produce the requested information and documents. For this reason, Nguyen violated FINRA Rules 2010 and 8210.
Particularly, on April 14, 2021, Raymond James (USA) Ltd. terminated the registration of Nguyen. Notably, Raymond James (USA) Ltd. alleged that Nguyen engaged in private securities transactions.
Nguyen worked for Raymond James (USA) Ltd. in Vancouver, BC, as a securities broker from October of 2015 to April of 2021.
Have you suffered damages by investing with Doan Nguyen? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer concerning the potential recovery of your investment losses or other damages. Soreide Law Group, who has successfully recovered money for many investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Nguyen and brokerage firms Nguyen worked for deny accusations of sales practice violations.
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