Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dan Nguyen (Nguyen), currently associated with Essex Securities LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Nguyen concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $160,000.00 on February 25, 2022.
Claimant alleges: Breach of Fiduciary Duty, Constructive Fraud, Churning, Negligence, Breach of Contract and Negligent Supervision