Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thuong Pham (Pham), currently associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Pham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on November 14, 2024.
Client alleges he was misled on his eligibility of receiving a $5000.00 account bonus.