RedFlag, Allegation and/or Complaint against MICHAEL VAN NGUYEN
Disclosure #1 for MICHAEL NGUYEN
- Event Date: 11/30/2015
- Disclosure Type: Financial
- Resolution: Pending
- Type: Bankruptcy
- Disposition: Direct Payment Procedure
- Broker Comment: After my divorce, and legal fees from a lawsuit with my ex-wife, I was put in a stressful financial situation that caused me to deplete my savings causing my cashflow to be insufficient to honor my financial obligations. This led to a chain of events which included my wages to be garnished, which depleted my cash flow. I filed a chapter 13 so that I could restructure my debts in order for it to be manageable based on my income. Before the divorce, which happened in 2010, I maintained excellent credit.
Should I file a FINRA complaint against brokers like MICHAEL VAN NGUYEN?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 9:01 pm