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Jeffrey Nguyen Allegedly Failed to Fully Inform Investor

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
February 24, 2023 at 9:38pm

Jeffrey Nguyen (CRD #: 2751686), a broker registered with Wells Fargo Clearing Services, is the subject of a pending dispute, according to his BrokerCheck record, accessed on February 16, 2023. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

On January 13, 2023, an investor and trustee alleged that Jeffrey Nguyen failed to inform him that certain recommended investments were subject to loss of market value. The client alleged that this misconduct occurred between August 10 and December 22, 2022. This dispute is currently pending.

FINRA Rule 2020

FINRA Rule 2020 bans the use of deceptive, manipulative, or otherwise unethical tactics to influence investors’ decisions. Omitting information about an investment’s features, potential risks, or other relevant information violates this rule.

Background Information

Jeffrey Nguyen has passed the following exams:

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

Jeffrey Nguyen is a registered broker in seven states and a registered investment adviser in California and Texas.

He previously worked for Edward Jones (CRD#:250).

Kurta Law Can Help

If you worked with Jeffrey 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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