Tammy Terri Lau of San Francisco California a stockbroker formerly registered with BancWest Investment Services Inc. is the subject of a customer initiated investment related written complaint on June 20, 2016 where the customer requested $55,043.55 in damages based upon allegations that Lau failed to inform the customer about the premium payment terms associated with the customer’s universal life policy and caused the customer to be exposed to lost interest and excessive costs.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on July 8, 2009, a customer initiated investment related complaint involving Lau’s conduct was resolved for $22,523.96 in damages founded on accusations that Lau poorly advised the customer about the placement of money into an individual retirement account, causing the customer to be exposed to unwarranted interest and tax penalties.
Lau’s registration with BancWest Investment Services Inc. has been terminated as of December 11, 2017.
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