Last Updated: January 2024 (Los Angeles, CA)
Lien Nguyen Investigation Summary
Here’s what you need to know about Los Angeles, CA, stockbroker Lien Nguyen:
- Name: Lien K. Nguyen
- Current Employer: MML Investors Services
- Previous Firms: MSI Financial Services, Metropolitan Life Insurance Co.
- Function: Stock Broker/ Financial Advisor
- Aliases: Lien Nguyen
- Primary Location: Los Angeles, CA
- CRD 2662699
- Can Lien Nguyen be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $407,142
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Lien Nguyen As Your Stockbroker?
In 11/2023 a customer of MetLife Securities alleges that Lien Nguyen misrepresented the a variable annuity and that he was promised a return on his investment in excess of 4%. Damages of $407,142 are sought in the pending matter.
Allegations of Broker Misconduct Against Lien Nguyen
A customer of Lien Nguyen has alleged the following wrongdoing in connection with the handling of customer accounts:
- Misrepresentation of benefits of variable annuity investment
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer. FINRA Rule 2111- suitability
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Other MML Investors Services brokers
If you have suffered investment losses in an account handled by Lien Nguyen, 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.
