Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nouachi Vang (Vang), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 28, 2023.
Client alleges that the advisor invested in ETF instruments and did not follow the clients instructions, resulting insignificant unrealized losses. The dates of the activity leading to the allegations are January 25, 2022, through March 10, 2023, per filing by Vanguard.