Last Updated: May 2025 | Charlotte
Here’s what you need to know about Overland Park, KS, stockbroker Cindy Huynh Ghattas:
- Name: Cindy Huynh Ghattas
- Current Employer: Creative Planning (Investment Advisor Representative)
- CRD Number: 5342109
- Primary Location: Overland Park, KS
- Alias: Cindy Phan Huyhn
- Function: Stockbroker / Financial Advisor
- Previous Employer: Waddell & Reed, Inc.
- Regulatory Status: Not currently registered with FINRA
- Pending Customer Dispute Seeks Damages of: $1,000,000
If you’ve sustained damages from Ms. Ghattas, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Cindy Huynh Ghattas As Your Stockbroker?
In March 2024, a customer of Creative Planning initiated proceedings alleging that Cindy Ghattas committed a range of serious misconduct in connection with options trading activities from February 2017 through September 2023. The arbitration, filed with the American Arbitration Association (Docket No. 01-24-0002-3498) seeks damages of no less than $1,000,000.
What is Option Trading? According to the U.S. Securities and Exchange Commission (SEC) “Options are contracts giving the purchaser the right to buy or sell a security, such as stocks, at a fixed price within a specific period of time.”
This right to purchase or right to sell at a set price for a set period of time allows investors to potentially profit not only from the rise in price, but also the decline. “Call” options grant the investor the right to buy a security at a set price for a set period of time. “Put” options give the investor the right to sell a security a set price for a set period of time.
Allegations of Broker Misconduct Against Cindy Huynh Ghattas
Customers have alleged the following misconduct against Cindy Ghattas during her tenure at Creative Planning:
- Breach of Fiduciary Duty
- Negligence / Gross Negligence
- Negligent and Intentional Misrepresentations and Omissions
- Breach of Contract
- Violations of the North Carolina Securities Act and the Kansas Securities Act
The pending arbitration suggests a possible violation of FINRA Rule 2111, which requires brokers to have a reasonable basis to believe a recommended transaction or investment strategy is suitable for the customer based on their investment profile.
Additionally, allegations of misrepresentation and omissions may implicate FINRA Rule 2020, which prohibits fraudulent or deceptive practices.
Recover Your Investment Losses Now With Rex Securities Law
Structured Products: Sometimes referred to as market-linked investments, Structured Products are pre-packaged investments whose performance is linked to an underlying asset, product or index. ( a single security, basket of securities, options, indicies, commodities, debt issuance, foreign currencies or derivatives). See this for FINRA’s Investor Insights “Understanding Structured Notes with Principal Protection”
If you have suffered investment losses in an account handled by Cindy Huynh Ghattas, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.