Christopher Guocthai Nguyen of Fort Worth Texas a stockbroker formerly registered with TD Ameritrade Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he failed to provide information to FINRA concerning his activities. Case No. 2017055956001 (Apr. 12, 2018).
FINRA Public Disclosure reveals that Nguyen was notified by FINRA on January 9, 2018 that he would be suspended for failing to provide FINRA with the requested information. Nguyen’s suspension went into effect on February 12, 2018. By April 11, 2018, FINRA had not received any correspondence from Nguyen concerning the termination of his suspension, which led FINRA to bar Nguyen in all capacities by April 12, 2018.
Nguyen was discharged by TD Ameritrade on September 16, 2017 based upon accusations that he took part in an unauthorized transfer of a customer’s funds from the customer’s investment account.
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