DID HUNG SAM CAUSE YOU INVESTMENT LOSSES?
Hung Sam Formerly With Wells Fargo Clearing Services And Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct
Who is Hung Sam formerly with Wells Fargo Clearing Services?
Hung Sam (CRD #6065447) who was formerly registered with Wells Fargo Clearing Services and located in Laguna Niguel, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Hung Sam was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Hung Sam Customer Complaint
Hung Sam has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were client complained that the financial advisor did not sell as instructed. Hung Sam’s customer complaint was denied and, to date, the customer has not taken any further action.
Hung Sam Red Flags & Your Rights As An Investor
Of course, Hung Sam did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Hung Sam at Wells Fargo Clearing Services and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Hung Sam has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To Hung Sam
If you have questions about Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith, and/or Hung Sam and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.