Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2018 indicate that Oregon-based Ameriprise Financial Services broker Ronald Lam has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lam (CRD# 3067765).
Ronald Lam has spent nineteen years in the securities industry and has been registered with Ameriprise Financial Services in Lake Oswego, Oregon since 2015. Previous registrations include Wells Fargo Advisors in Wilsonville, Oregon (2011-2015); Wells Fargo Investments in Portland, Oregon (2009-2011); Wamu Investments in Tigard, Oregon (2002-2009); and Phillips & Company Securities in Portland, Oregon (1998-2002). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 22, 1998, and Series 7 (General Securities Representative Examination), which he obtained on June 17, 1998. He is a registered broker and investment adviser with eight US states: Arizona, California, Hawaii, Illinois, Oregon, Texas, Utah and Washington.
According to his BrokerCheck report, Ronald Lam has received two customer complaints and was discharged form a former employer in connection to alleged rule violations.
In 2015 he was terminated from his position at Wells Fargo Advisors following allegations he failed to execute trades in a timely manner.
In June 2017 a customer alleged Ronald Lam, while employed at Wells Fargo Advisors, made three unauthorized investments that resulted in losses. The complaint settled for more than $4,000.
In 2015 a customer alleged Ronald Lam, while employed at Wells Fargo Advisors, purchased three oil securities without authorization. The complaint settled in 2016 for $10,000.
In 2009 a customer alleged he, while employed at Wamu Investments, misrepresented and recommended unsuitable mutual funds. The customer sought unspecified damages in the complaint, which was denied.
In 2005 a customer alleged he, while employed at WM Financial Services, coerced her into making certain transactions. The customer sought more than $80,000 in damages in the complaint, which was denied.
If you or someone you know has lost money investing with Ronald Lam, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.