Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Nguyen (Nguyen), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Nguyen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $5,000,000.00 on February 13, 2021.
Customer alleges over-concentration, misrepresentations, omissions, and unsuitable recommendations in regards to the purchase of alternative and annuity investments.