JONATHAN NGUYEN TRAN is currently employed as a Broker and/or Investment Adviser at TRANSAMERICA FINANCIAL ADVISORS, INC located at 6200 SAVOY DR, #701, HOUSTON, TX, 77036.
JONATHAN NGUYEN TRAN has worked at TRANSAMERICA FINANCIAL ADVISORS, INC since November 20, 2017
Disclosure History
JONATHAN NGUYEN TRAN has 1 Disclosure Event(s).
Date: May 19, 2015 Category: Employment Separation After Allegations Firm Name: WELLS FARGO ADVISORS, LLC. Termination Type: Discharged Allegations: DISCHARGED BY WELLS FARGO BANK, NA FOR REASONS UNRELATED TO THE BUSINESS OF WELLS FARGO ADVISORS, LLC. MR. TRAN OPENED BANK ACCOUNTS WITHOUT THE CUSTOMER BEING PRESENT AND COMPLETED NEW ACCOUNT APPLICATIONS FOR BUSINESS ACCOUNTS LISTING A NON-OWNER INDIVIDUAL AS AN OWNER OF THE BUSINESS. Broker Comment: The disclosure mentioned something about me adding a non-owner as a owner on a business account which is incorrect. I never opened an account and added a person as a owner when they have no ownership rights. The account would not be approved anyhow. A customer of mine asked me to set up a new business account for them and add an account manager to their to an existing account. I completed the customer request when they were not present as they called in and ask me to take care of it for them like usual and I could collect the signature from them later on. Unfortunately they had an internal dispute between owners/partners and the account opened and adding the signer was disputed. Since I didn't get a chance to collect the signatures before the dispute happen, I was asked to resign which I did. Even my manager didn't think it was a big deal but the investigator working on the case was pretty strict on it for some reason. It's not like I committed fraud or stole from the bank or customers. I was not aware that Wells Fargo listed this on my U4. They told me that for employment verification, people would not know my reason for leaving. They would just know my position at the bank and salary.
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