Last Updated: February 2025 (Maple Grove, MN)
Nouachi Vang Investigation Summary
Here’s what you need to know about Maple Grove, MN stockbroker Nouachi Vang:
- Name: Mr. Nouachi Vang
- Current Employer: LPL Financial LLC
- Prior Employers: Kestra Advisory Services, LLC, Kestra Investment Services, LLC, Vanguard Advisers, Inc., Vanguard Marketing Corporation, TIAA-CREF Individual & Institutional Services, LLC
- Function: Stockbroker / Financial Advisor
- DBA: NouaChi Vang Financial Services
- Aliases: NouaChi Vang
- Primary Location: Maple Grove, MN
- CRD#: 5090132
- Can Nouachi Vang be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Highest Award or Settlement: $100,000
If you’ve sustained damages from Mr. Vang, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Nouachi Vang As Your Stockbroker?
A customer of Vanguard Advisers, Inc. was paid $100,000 in November 2023 to resolve allegations that Nouachi Vang invested in ETF instruments without following client instructions, resulting in significant unrealized losses
Allegations of Broker Misconduct Against Nouachi Vang
Customers and regulators have alleged the following misconduct against Nouachi Vang:
- Failure to Follow Client Instructions: The 2023 customer dispute alleged that Vang did not execute trades as instructed, resulting in significant financial losses. (Violates FINRA Rule 2010 – Standards of Commercial Honor and Principles of Trade).
- Unsuitable Investment Recommendations: The customer alleged that the ETF investments were not suitable given their risk tolerance and investment profile. (Violates FINRA Rule 2111 – Suitability Standard).
- Failure to Conduct Due Diligence: The investment recommendations made by Vang may not have been properly vetted before being advised to the client. (Violates FINRA Rule 3110 – Supervision).
The Financial Industry Regulatory Authority (FINRA) mandates that brokers disclose customer complaints, regulatory sanctions, and employment terminations to ensure transparency for investors.
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.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Nouachi Vang, 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.