DID RICHARD NGUYEN CAUSE YOU INVESTMENT LOSSES?
Richard Nguyen Formerly With Jeffries LLC was fired on August 26, 2024, for failing to disclose an outside business activity in violation of FINRA Rules and firm policy
Who is Richard Nguyen formerly with Jeffries LLC?
Richard Nguyen (CRD #7564566) who was formerly registered as a broker with Jeffries LLC and located in Palo Alto, California, 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.
Richard Nguyen Employment History and Termination
- Richard Nguyen began his career in the securities industry in 2022. His brief tenure at Jefferies LLC as an associate lasted from February 2024 to August 2024, after previously working at Mizuho Securities USA LLC as an associate from May 2022 to January 2024. Nguyen’s registration reflects foundational knowledge and experience in securities.
- He has passed three general industry/product exams and one multi-state securities law exam.
- His employment at Jefferies LLC ended due to a compliance-related issue involving undisclosed outside business activities. On August 26, 2024, he was terminated by Jefferies LLC for allegedly violating firm policy and FINRA Rule 3270 due to an undisclosed outside business activity.
- Disclosure Events:
- Termination August 26, 2024 from Jeffries LLC
- Allegation: Failing to disclose an outside business activity in violation of FINRA Rule 3270 and firm policy. The termination involved no specific customer complaints or securities transactions but was related to internal policy adherence.
Richard Nguyen 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 Richard Nguyen is a red flag which should put all current and former customers of Richard Nguyen at Jeffries LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Nguyen engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Jeffries 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 Jeffries LLC Due To Richard Nguyen
If you have questions about Jeffries LLC and/or Richard Nguyen 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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