Uyen PHUONG Nguyen at NYLIFE SECURITIES LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 6530167
Uyen PHUONG Nguyen is an Investment Adviser, associated with NYLIFE SECURITIES LLC located at NEW YORK, NY. Uyen Nguyen’s Central Registration Depository (CRD) number is 6530167 and the FINRA Profile can be found at –

Disclosure #1 for Uyen Nguyen

    • Event Date: 8/8/2019
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: Customer alleges that he did not intend to move forward with the purchase of his Variable Annuity in March 2019, and also that the product was not properly explained to him.
    • Settlement Amount: $13,258.57
    • Arbitration Docket Number:
See also  KRISTIN LYNN GEDERT at AMERIPRISE FINANCIAL SERVICES, LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

Should I file a FINRA complaint against brokers like Uyen PHUONG 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.

Update - 2022.11.15If you have suffered investment losses that may have been caused by Uyen PHUONG Nguyen’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

See also  DON MATTHEW SILK at LPL FINANCIAL LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023) helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About Uyen PHUONG Nguyen

What is Uyen Nguyen's Central Registration Depository (CRD) Number?


Which firm is Uyen PHUONG Nguyen associated with?


Where is Uyen Nguyen located?


Where can I find more details about Uyen Nguyen's Investment Firm?

Visit to read a detailed report for NYLIFE SECURITIES LLC

Are there any disclosures, allegations or complaints filed against Uyen PHUONG Nguyen?

Yes. There are disclosures, allegations, or complaints filed against Uyen PHUONG Nguyen. Click here to view all details

Where can I download a detailed FINRA report for Uyen Nguyen?

Click here to download a detailed FINRA report for Uyen Nguyen

Is it safe to do business with Uyen PHUONG Nguyen?

We’re not sure. Please research Uyen Nguyen’s disclosures, allegations and complaints before taking a decision

See also  VICENTE Jose Arturo INIGUEZ at NYLIFE SECURITIES LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

Report Inaccuracy

All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.


Share your experience with this broker

Leave a reply

Broker Audit
Register New Account