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.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

Guiliano Law Group

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)


%d bloggers like this: