ETF Loss Options for Clients of Former Vanguard Advisers, Inc. Broker Nouachi Vang

Jeff Erez | | ETF/Inverse ETF Articles
Vanguard Advisors

Erez Law is currently investigating former Vanguard Advisers, Inc. broker Nouachi Vang (CRD# 5090132) regarding exchange traded fund (ETF) losses. He has been registered with LPL Financial LLC in Maple Grove, Minnesota, since 2024. He was registered with the following brokerage firms: 

  • Kestra Advisory Services, LLC in Maple Grove, Minnesota, from 2022 to 2024
  • Kestra Investment Services, LLC in Maple Grove, Minnesota, from 2022 to 2024
  • Vanguard Advisers, Inc. in Charlotte, North Carolina, from 2020 to 2022
  • Vanguard Marketing Corporation in Charlotte, North Carolina, from 2020 to 2022
  • Advice And Planning Services in Charlotte, North Carolina, from 2016 to 2019
  • Tiaa-Cref Individual & Institutional Services, LLC in Charlotte, North Carolina, from 2016 to 2019
  • Vanguard Advisers Inc. in Charlotte, North Carolina, from 2015 to 2016
  • Vanguard Marketing Corporation in Charlotte, North Carolina, from 2006 to 2016

He Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

February 2023. “Client alleges that the advisor invested in ETF instruments and did not follow the clients instructions, resulting insignificant unrealized losses. The dates of the activity leading to the allegations are January 25, 2022, through March 10, 2023, per filing by Vanguard.” The case was settled for $100,000. The complaint took place while he was registered with Vanguard Advisers, Inc. and was an employee of Vanguard Group, Inc.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Vanguard Advisers, Inc. may be liable for investment or other losses suffered by Nouachi Vang’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.