MEIKAM BETTY LO

MEIKAM BETTY LO is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 208 CANAL ST, NEW YORK, NY, 10013.

MEIKAM BETTY LO has worked at CETERA INVESTMENT SERVICES LLC since April 04, 2013

Disclosure History

MEIKAM BETTY LO has 1 Disclosure Event(s).

Date: July 16, 2011
Category: Employment Separation After Allegations
Firm Name: HSBC SECURITIES (USA) INC.
Termination Type: Discharged
Allegations: BANK AFFILIATE CLIENT NOTIFIED BANK THAT HE/SHE HAD NOT SUBMITTED A CREDIT LINE APPLICATION FOR HIS/HER BANK ACCOUNT. BANK AFFILIATE SUBSEQUENTLY CONDUCTED AN INTERVIEW WITH THE REGISTERED REPRESENTATIVE AND REGISTERED REPRESENTATIVE ADMITTED THAT SHE SUBMITTED A BANK CREDIT LINE OF APPLICATION WITHOUT PROPER CUSTOMER AUTHORIZATION. THE BANK AFFILIATE SUBSEQUENTLY TERMINATED THE REGISTERED REPRESENTATIVE'S EMPLOYMENT. THE INVESTIGATION IS NOW CLOSED.

More Information

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