Tag Archives: Hung Sam

Wells Fargo Stockbroker Sanctioned For Customer Loan

May 31, 2021  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   Comments Off on Wells Fargo Stockbroker Sanctioned For Customer Loan

Hung Sam (also known as Sam T. Hung and as Hung Tuan Sam) a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Sam borrowed funds from a customer […]

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