Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lien Nguyen (Nguyen), currently associated with MML Investors Services, LLC, 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 pending customer complaint with a damage request of $5,001.00 on November 14, 2023.
The complainant alleges that his registered representative, misrepresented the variable annuity that he purchased on/or about March 7, 2013, and he was promised that he would receive a larger 4% return in profits on his investment.