{"id":18529,"date":"2019-12-16T06:53:57","date_gmt":"2019-12-16T12:53:57","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=18529"},"modified":"2019-12-13T08:57:38","modified_gmt":"2019-12-13T14:57:38","slug":"shepherd-smith-edwards-and-kantas-investigates-joseph-viet-duy-phan","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/shepherd-smith-edwards-and-kantas-investigates-joseph-viet-duy-phan\/","title":{"rendered":"Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Pruco Broker Joseph Viet Duy Phan"},"content":{"rendered":"

Former Pruco Securities Broker Accused of Borrowing Customers\u2019 Money<\/strong><\/h2>\n

The Financial Industry Regulatory Authority (FINRA) <\/a>announced that it is barring Joseph Viet Duy Phan, an ex-Pruco Securities broker, after he did not appear at a hearing in the self-regulatory organization\u2019s (SRO) probe into why he was fired by the broker-dealer. Phan was let go by Pruco for allegedly borrowing money from two clients\u2019 accounts without firm approval. Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm)<\/a> is currently looking into potential investor claims against the former Pruco broker and his firm. If you lost money while working with Phan as your registered representative, contact our broker fraud lawyers today.<\/p>\n

Phan was a Pruco broker from 2007 into 2018. Aside from allegedly borrowing money from clients\u2019 accounts without authorization, he is also accused of trying to deposit one client\u2019s insurance premium check into an account that was in his name.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Former Pruco Securities Broker Accused of Borrowing Customers\u2019 Money The Financial Industry Regulatory Authority (FINRA) announced that it is barring Joseph Viet Duy Phan, an ex-Pruco Securities broker, after he did not appear at a hearing in the self-regulatory organization\u2019s (SRO) probe into why he was fired by the broker-dealer. Phan was let go by […]<\/p>\n","protected":false},"author":2,"featured_media":18533,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3773,3783,3739,4049],"tags":[4241,2715,4242,4243],"class_list":["post-18529","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-broker-fraud","category-broker-misconduct","category-finra","category-industry-bars","tag-joseph-viet-duy-phan","tag-pruco-securities","tag-terry-joe-bagwell","tag-winston-wade-turner"],"yoast_head":"\nShepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Pruco Broker Joseph Viet Duy Phan — Investor Lawyers Blog — December 16, 2019<\/title>\n<meta name=\"description\" content=\"Shepherd Smith Edwards and Kantas is currently looking into potential investor claims against the former Pruco broker, Joseph Viet Duy Phan and his firm.\" \/>\n<meta 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