WARNING! Doan Nguyen of Raymond James is BARRED

Israels & Neuman, PLC

Doan Nguyen, formerly with Raymond James, Barred by FINRA

VANCOUVER, BC

Are you a current or former client of advisor Doan Nguyen of Vancouver, British Columbia? Our securities arbitration law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Doan Cong Nguyen. In April 2022, FINRA barred Nguyen from the securities industry after he failed to respond to an investigation. Nguyen was alleged to have engaged in an outside business activity without disclosing such to his former brokerage firm, Raymond James.

Doan Nguyen was a financial advisor with Raymond James (USA) in Vancouver, British Columbia from October 2015 to April 2021. Nguyen was also “permitted to resign” by Raymond James in 2021 when he formed a corporation in BC with the intent of registering as an exempt market dealer.

Raymond James has an obligation to follow all FINRA rules as a FINRA member. This includes FINRA Rule 3110, which requires the firm to reasonably supervise the activities of its representatives like Doan Nguyen. If Raymond James fails to sufficiently supervise the activities of its advisors, it could make Raymond James responsible for Nguyen’s conduct.

Israels & Neuman PLC is an investment fraud law firm that represents investors all over the U.S. in FINRA arbitration. We have offices in Seattle, and our attorneys have represented investors in Canada in the past as well.

View BrokerCheck Report: Nguyen, d BrokerCheck 4.25.22

View FINRA AWC: Nguyen, d FINRA AWC

If you lost money with Doan Nguyen or Raymond James, please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

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