Dung Thanh Nguyen of Houston Texas a stockbroker formerly registered with MetLife Securities Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Nguyen engaged in undisclosed outside business activities while employed by the firm. Letter of Acceptance Waiver and Consent No. 2016050536901 (Apr. […]
Read More »
Tag Archives: Dung Thanh Nguyen
FINRA Fines MetLife Broker For Outside Business Activities
February 19, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments