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Linh Tran Allegedly Misrepresented Direct Investment

Linh Tran (CRD #: 5254779), a broker registered with Morgan Stanley, was recently involved in an investor dispute, according to her BrokerCheck record, accessed on November 19, 2022. Read on to learn more about her conduct as a broker.

Investor Dispute

On August 18, 2022, an investor alleged that Linh Tran misrepresented the liquidity of a direct investment purchased in 2020. This dispute was denied by the firm.

However, investors should know that firms don’t need to permit an external review before denying a dispute. Investors may be able to recover their losses by pursuing FINRA arbitration after a denial.

FINRA Rule 2020

FINRA Rule 2020 bans the use of manipulative, deceptive, or otherwise fraudulent methods to influence investors’ decisions. Misrepresenting an investment’s features, risks, or potential returns violates this rule.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 are also violations of FINRA Rule 2010. 

Background Information

Linh Tran has passed the following exams:

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

Linh Tran is a registered broker in 20 states and the District of Columbia. She is also a registered investment adviser in California and Texas.

She previously worked for Morgan Stanley & Company (CRD#:8209).

Kurta Law Can Help

If you worked with Linh Tran 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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