Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hung Ly (Ly), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 15, 2025.
Attorney for customers complains that they relied to their detriment on advice given by their financial advisor relating to investments by foreign investors seeking to obtain visas for US residency. (3/5/2017-8/29/2019)