Last Updated: August 2025 — Vacaville, California
Here’s what you need to know about Vacaville, CA, stockbroker Lisa‑Ann Tomiko Nouchi:
- Name: Lisa‑Ann T. Nouchi
- CRD Number: 2367719
- Current Employer: LPL Financial LLC (registered since June 5, 2025)
- Branch/Primary Location: 400 Boyd St., Vacaville, CA 95688
- Function: Stockbroker / Financial Advisor (FINRA General Securities Representative)
- Previously Registered With: Western International Securities (2008–2025), First Allied Securities (2006–2008), Investors Resources Group (2004–2006), UBS Financial Services (2001–2004), Merrill Lynch (1993–2001)
- Alias: Lisa Nouchi
- Exams Passed: Series 7, SIE, Series 63, Series 65
- Other Business Activity: Non‑variable insurance (since 06/01/2022)
- Can Lisa‑Ann Nouchi be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? Yes
- Discharged by a Prior Employer: Yes
- Pending Customer Dispute Seeks Damages of: $50,000
If you’ve sustained damages from Ms. Nouchi, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Lisa Nouchi As Your Stockbroker?
Pending FINRA arbitration (Case No. 25‑01080) was filed in May 2025, alleging that while at Western International Securities, Ms. Nouchi recommended an unsuitable and misleading corporate debt investment. Claimed damages: $50,000. The dispute remains pending.
In a disciplinary action (NASD n/k/a FINRA Docket No. E102004083705), the regulator found that Ms. Nouchi entered false disability codes on order tickets to improperly obtain CDSC (contingent deferred sales charge) waivers for mutual fund redemptions at UBS. A $10,000 fine and a 90‑day suspension (Oct 5, 2009–Jan 2, 2010) were imposed. These findings referenced then‑applicable NASD Rules 2110 and 3110 (now generally reflected in FINRA Rule 2010’s standards of commercial honor and Rule 4511/books and records).
Allegations of Broker Misconduct Against Lisa‑Ann Tomiko Nouchi
- Unsuitable/Misleading Recommendation (Suitability)
- False Books & Records / Improper Fee Waivers
- Prior Customer Complaints (2001, closed/no action): Allegations of misrepresentation at Merrill Lynch (equities and mutual funds) — no action taken.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-oils, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Lisa‑Ann Tomiko Nouchi, 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.