TIM XUAN HA is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 2965 COLONNADE DR, STE 310, ROANOKE, VA, 24018.
TIM XUAN HA has worked at CETERA ADVISOR NETWORKS LLC since October 17, 2017
Disclosure History
TIM XUAN HA has 2 Disclosure Event(s).
Date: May 14, 2014 Category: Employment Separation After Allegations Firm Name: AXA ADVISORS, LLC Termination Type: Discharged Allegations: RR HAD A PATTERN OF UNADMITTED REPLACEMENTS, BASED ON A STRATEGY THAT WAS RECOMMENDED TO CLIENTS. Broker Comment: THE TRANSACTIONS (3) WERE PROPERLY DOCUMENTED, AND THE PAPERWORK WAS SUBMITTED, AND ULTIMATELY APPROVED BY COMPLIANCE OFFICERS AND BRANCH MANAGER.
Date: January 15, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED UNSUITABLE AND UNAUTHORIZED TRADES. Damage Amount Requested: $83,278.00 Settlement Amount: $11,412.57 Broker Comment: THIS MATTER WAS SETTLED FOR BUSINESS PURPOSES AND TO AVOID ANY FURTHER TIME AND COST OF POSSIBLE LITIGATION.
More Information
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