Haselkorn & Thibaut, InvestmentFraudLawyers.com, has opened an independent investigation into NouaChi Vang—a financial advisor in Maple Grove, Minnesota, registered with LPL Financial (CRD# 5090132)—in response to recently reported investor complaints and regulatory filings. If you’ve invested with NouaChi Vang or have concerns about your account, it’s essential to stay informed and take proactive steps to safeguard your interests.
Who Is NouaChi Vang of LPL Financial, Maple Grove, MN?
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NouaChi Vang is a licensed financial advisor with nearly two decades of experience in the securities industry. Based in Maple Grove, Minnesota, she is registered as both a broker and an investment advisor with LPL Financial, operating under NouaChi Vang Financial Services. Her regulatory profile indicates licensure in California, Colorado, Florida, Georgia, Michigan, Minnesota, North Carolina, South Carolina, Texas, and Wisconsin.
Ms. Vang entered the industry in 2005 and has passed multiple qualifying securities exams, including the SIE, Series 65, Series 63, Series 7, Series 6, and Series 52TO. In addition to her current role at LPL Financial, her background lists prior associations with Vanguard Marketing Corporation, Kestra Investment Services, Advice and Planning Services, and TIAA-CREF Individual & Institutional Services.
Recent Complaints Involving NouaChi Vang
While many financial advisors maintain clear regulatory histories, NouaChi Vang’s record shows two significant investor complaints in recent years. Both are important for current or prospective clients to know.
| Date | Alleged Misconduct | Status | Damages | Broker-dealer |
|---|---|---|---|---|
| November 2025 | Fraudulent misappropriation of assets | Pending | $135,000 | Vanguard Marketing Corp. |
| 2023 | Failure to follow ETF investment instructions | Settled | $100,000 (settlement) | Vanguard Marketing Corp. |
What Are the Allegations?
- PENDING: November 2025 – An investor complaint alleges that as a representative of Vanguard Marketing Corporation, NouaChi Vang fraudulently misappropriated client assets. The requested damages total $135,000, and the matter remains unresolved.
- SETTLED: 2023 – A previous client complaint alleged that Ms. Vang did not follow clear instructions related to ETF investments. This case concluded with a $100,000 settlement.
Both complaints provide potential red flags for clients and underscore the importance of monitoring account activity, especially for those who are, or were, clients of Ms. Vang either at Vanguard Marketing Corporation or her current practice at LPL Financial.
Key Regulatory Expectations and Violations to Consider
Investors should be aware of industry standards set by the Financial Industry Regulatory Authority (FINRA). Some of the most relevant rules include:
- FINRA Rule 2150: Prohibits improper use or misappropriation of customer funds or securities.
- FINRA Rule 2010: Requires brokers to observe high standards of commercial honor and just and equitable principles of trade.
Allegations of misappropriation, if proven, could constitute violations of these key industry standards. For current or former clients of NouaChi Vang, understanding these protections is essential.
Registration History and Professional Background
NouaChi Vang’s regulatory record shows she has been with LPL Financial since 2024 and runs NouaChi Vang Financial Services. Her credentials and exam history reflect a standard, experienced background for an investment advisor. Her former registrations include prominent firms such as:
- Vanguard Marketing Corporation
- Kestra Investment Services
- Advice and Planning Services
- TIAA-CREF Individual & Institutional Services
No Regulatory Actions—But Complaints Matter
As of the latest available filings, there are no FINRA or SEC formal regulatory orders or disciplinary actions against NouaChi Vang. Similarly, there are no reported civil lawsuits, SEC administrative proceedings, or state regulatory penalties linked to her name or CRD number. View full profile on FINRA BrokerCheck.
However, the presence of multiple six-figure client complaints, including a pending misappropriation matter, warrants attention—even if no agency has brought formal charges.
What Should Investors Do Next?
- Review your statements: Look for any unauthorized activity, unusual transactions, or deviations from agreed-upon strategies.
- Gather documentation: Keep copies of all account correspondence, trade confirmations, and agreements.
- Stay informed: Visit reliable sources like FINRA BrokerCheck to monitor the status of complaints or regulatory filings.
- Seek counsel early: If you have concerns about your investments or account management, it’s crucial to act promptly.
How Haselkorn & Thibaut Can Help You
Haselkorn & Thibaut has a 98% success rate, over 50 years of combined experience, and has recovered millions for investors nationwide. Our firm offers aggressive representation, complete confidentiality, and a “No recovery, no fee” promise. If you suffered losses or wish to confidentially discuss your circumstances regarding NouaChi Vang or LPL Financial, our free, 100% confidential consultations can help you understand your rights and options.
Call Haselkorn & Thibaut today at 1-888-885-7162 to speak with an investment loss attorney or schedule your no-obligation case review. Your first call could make the difference for your financial recovery.
Being vigilant and informed is the best protection for investors. If you believe you have experienced mishandling, misrepresentation, or suspect unauthorized activities in your accounts, reach out to the Haselkorn & Thibaut team to discuss your concerns.
