Tag Archives: Luong Pham

FSIC Discharges Stockbroker Violating Protocol

August 17, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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