DID KIM THIEN TRAN CAUSE YOU INVESTMENT LOSSES?
Kim Tran Formerly With NYLife Securities LLC was terminated on September 16, 2024, for following allegations related to a personal insurance matter
Who is Kim Tran formerly with NYLife Securities LLC?
Kim Tran (CRD #5575725) who was formerly registered as a broker with NYLife Securities LLC and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Kim Tran Employment History and Termination
Kim T. Tran was registered with NYLIFE Securities LLC from January 2009 to October 2024. During her career, she passed two general industry/product exams and one multi-state securities law exam but did not pass any principal/supervisory exams. Her qualifications include:
- General Industry/Product Exams:
- Securities Industry Essentials (10/01/2018)
- Investment Company Products/Variable Contracts Representative Exam (01/27/2009)
- State Securities Law Exam:
- Uniform Securities Agent State Law Exam (10/08/2009)
She worked primarily as a registered representative and an agent for NYLIFE Securities LLC and New York Life Insurance Company in Houston, Texas.
Her termination followed allegations regarding her father’s life insurance policy, that she submitted false documentation for a death claim related to her father’s life insurance policy. While this incident did not involve securities-related products or broker-dealer clients, it highlights the importance of thorough vetting of financial professionals.
Negative Disclosure:
Kim T. Tran has one reported disclosure related to her employment termination:
- Employment Separation After Allegations
- Date: September 16, 2024
- Firm: NYLIFE Securities LLC
- Allegations: Ms. Tran, as the owner and beneficiary of her father’s fixed life insurance policy, submitted false documents for a death claim that the company could not validate.
Kim Tran Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Kim Tran is a red flag which should put all current and former customers of Kim Tran at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Kim Tran engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLife Securities LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At NYLife Securities LLC Due To Kim Tran
If you have questions about NYLife Securities LLC and/or Kim Tran and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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