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Anh Nguyen Named in Dispute Alleging Damages in Real Estate Transaction

Anh Nguyen (CRD #: 5843381), a broker registered with MML Investors Services, was involved in a recent investor dispute, according to his BrokerCheck record, accessed on May 31, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Investor Dispute

On March 17, 2023, an investor alleged that Anh Nguyen was involved in a potential real estate transaction that resulted in damages. These damages were allegedly suffered after the firm ordered the client to cease and desist from using the firm’s name in certain marketing materials.

This dispute was denied by the firm. Investors should be aware, however, that firms can deny disputes without an external review. Investors can still pursue FINRA arbitration after a denial and may be able to recoup their losses.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Anh Nguyen has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Anh Nguyen is a registered broker in 31 states as well as the District of Columbia and Puerto Rico. He is also a registered investment adviser in Florida and Texas.

He has also worked for MSI Financial Services (CRD#:14251).

Kurta Law Can Help

If you worked with Anh Nguyen and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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