DICK LAM is currently employed as a Broker and/or Investment Adviser at LAM SECURITIES INVESTMENTS, INC. located at 2099 Lake Street, Suite A, San Francisco, CA, 94121.
DICK LAM has worked at LAM SECURITIES INVESTMENTS, INC. since December 11, 2015
Disclosure History
DICK LAM has 3 Disclosure Event(s).
Date: November 17, 1997 Category: Regulatory
Date: April 06, 1989 Category: Employment Separation After Allegations Firm Name: LEHMAN BROTHERS INC. Termination Type: Discharged Allegations: NOT PROVIDED(SEE ATTACHED EXPLANATION) Broker Comment: THE RESULT WAS A WRONGFUL TERMINATION (SEEATTACHED EXPLANATION)Not Provided
Date: March 25, 1986 Category: Customer Dispute Allegations: KAM YUK KWAN, CLAIMANT SPECIFICALLY ALLEGEDINTENTION MISREPRESENTATION AND OMISSION, NEGLIGENTMISREPRESENTATION, BREACH OF FIDUCIARY DUTY, BREACH OF IMPLIEDDUTY OF GOOD FAITH AND CONVERSION Damage Amount Requested: $50,000.00 Damages Granted: $56,000.00 Broker Comment: AWARD TO THE CLAIMANT FOR $56,000.00.MY DUTY WAS A FINANCIAL CONSULTANT WITH SHEARSON.I WAS NOT INVOLED WITH THE INTERNAL OFFICE OF SHEARSON.SHEARSON TOOK THE CLIENT'S INSTRUCTION JORNALED MONEY FROM MRS.KWAN'S ACCOUNT TO MR. KWAN'S ACCOUNT. I DID NOT HAVE THEAUTHORITY TO APPROVE OR DISAPPROVE THE CLIENT'S INSTRUCTION ANDTO INITIATE THE JORNAL ACTIVITIES. SHEARSON TOOK RESPONSIBILITYTO HANDLE THE ACCOUNT'S INTERNAL ACTIVITIES.
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