Fort Lauderdale-based Soreide Law Group, phone (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.”
Khoi Danh Nguyen (CRD #4640647, Jacksonville, Florida)
was barred By FINRA for allegedly conducting improper credit inquiries and falsifying automobile applications to an affiliated insurance company and corresponding consolidated insurance profile (CIP) reports.
FINRA's findings stated that allegedly Nguyen inappropriately conducted numerous credit inquiries on behalf of existing customers to issue automobile insurance policies for their relatives, who would not qualify for insurance or would only qualify for a higher premium. Allegedly, Nguyen used the credit reports of persons who did not have an insurable interest in the insured vehicles on the policy.
Allegedly Khoi Nguyen additionally falsified the corresponding insurance documents by misrepresenting customers’ gender, marital status, and familial relationships to conceal they had separate policies associated with different addresses and vehicles.
(FINRA Case #2012032758701)
Khoi Danh Nguyen was previously registered with the following FINRA firm(s):
ALLSTATE FINANCIAL SERVICES, LLC (CRD# 18272) - JACKSONVILLE, FL
05/2004 - 05/2012
NYLIFE SECURITIES INC. (CRD# 5167) - NEW YORK, NY
06/2003 - 03/2004
METLIFE SECURITIES INC. (CRD# 14251) - NEW YORK, NY
04/2003 - 05/2003
METROPOLITAN LIFE INSURANCE COMPANY (CRD# 4095) - NEW YORK, NY
04/2003 - 05/2003
The summation of information from FINRA's website ends here.
If you suffered financial losses due to the recommendation of your broker/financial advisor call for a free consultation with an attorney at: (888) 760-6552.
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