Luong Pham of Edmonds Washington a stockbroker formerly registered with FSIC has been discharged by the firm on December 12, 2017 based upon accusations that customer account information was procured by Pham from her prior employer without authorization, which Pham planned to utilize in violation of both Securities Exchange Commission (SEC) Regulation S-P and Protocol for Broker Recruiting.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also confirms that on October 17, 2000, a customer filed an investment related complaint regarding Pham’s conduct in which the customer sought at least $5,000.00 in damages supported by allegations that while Pham was associated with Edward Jones, Pham liquidated the customer’s stock holdings and placed the customer in a corporate bond without being provided authorization from the customer.
Moreover, on March 10, 2015, a customer filed an investment related complaint concerning Pham’s activities where the customer requested $60,000.00 in damages founded on accusations that while Pham was employed by Wells Fargo Advisors, LLC, he effected stock trades in the customer’s account without the customer’s consent.
Pham was subsequently registered at TCFG Wealth Management, LLC between December 12, 2017 and January 25, 2018.
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