Joseph Viet Duy Phan – Financial Advisor/Broker Joseph Viet Duy Phan Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Joseph Viet Duy Phan CRD #2555300
Joseph Viet Duy Phan was a previously licensed financial advisor with Pruco Securities, LLC. According to Joseph Viet Duy Phan’s CRD, Joseph Viet Duy Phan was barred from the securities industry in November 2019.
According to FINRA Allegations:
Joseph Viet Duy Phan consented to the sanction and to the entry of findings that Joseph Viet Duy Phan failed to appear and provide testimony as requested by FINRA in connection with its investigation into allegations that he borrowed money from two of his member firm clients without firm approval, and attempted to deposit a client’s check into his personal bank account.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Joseph Viet Duy Phan and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Joseph Viet Duy Phan’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Joseph Viet Duy Phan and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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