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Kim Thien Tran Suspended Nine Months by FINRA for Falsifying Documents and Customer Fund Loans at NYLife Securities

Kim Thien Tran Suspended Nine Months by FINRA for Falsifying Documents and Customer Fund Loans at NYLife Securities

Former NYLife Securities broker Kim Thien Tran received a nine-month FINRA suspension and a $5,000 fine for falsifying documents and taking $14,790 in unauthorized loans against a customer’s life insurance policy.

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