Tag Archives: Tommy Huy Mai

FINRA Suspends Questar Broker For Misleading Investors

December 23, 2017  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

Tommy Huy Mai, of Westminster, California, a stockbroker formerly registered with Questar Capital Corporation, has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged customer signatures on account documentation and communicated misleading information about securities […]

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