TUAN THANH LE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 515 OLD YORK ROAD, JENKINTOWN, PA, 19046.
TUAN THANH LE has worked at LPL FINANCIAL LLC since December 01, 2016
Disclosure History
TUAN THANH LE has 4 Disclosure Event(s).
Date: May 17, 2013 Category: Employment Separation After Allegations Firm Name: PNC INVESTMENTS Termination Type: Permitted to Resign Allegations: TUAN LE RESIGNED WHILE UNDER INVESTIGATION. SPECIFICALLY, MR. LE ATTEMPTED TO DOWNLOAD SENSITIVE INFORMATION TO A PERSONAL USB STORAGE DEVICE, BUT THE DOWNLOAD WAS BLOCKED BY PNC SYSTEMS. THERE IS NO EVIDENCE OF THEFT OR MISAPPROPRIATION. Broker Comment: IN RESPONSE TO THE TERMINATION REASON "PERMITTED TO RESIGN" AS FILED BY PNC, I WISH TO CLARIFY THE CIRCUMSTANCES REGARDING MY RESIGNATION. THE INCIDENT WAS RELATED TO MY ATTEMPT TO DOWNLOAD SAVED ASSET ALLOCATION TEMPLATES OF MY OWN CREATION AND OTHER PERSONAL FILES. I HAD NO INTENTION OF TAKING ANY SENSITIVE OR CONFIDENTIAL DATA BELONGING TO PNC. I COOPERATED FULLY WITH PNC'S INVESTIGATION AND WILLINGLY TURNED OVER THE USB DEVICE THAT WAS USED BY ME TO DOWNLOAD FILES. THE DEVICE WAS LATER RETURNED TO ME AFTER THE CONCLUSION OF PNC'S INVESTIGATION IN WHICH IT WAS DETERMINED THAT THERE WAS "NO EVIDENCE OF THEFT OR MISAPPROPRIATION" ON MY PART. I HAD EVERY INTENTION OF RESIGNING RIGHTFULLY, WHICH HAD BEEN PREVIOUSLY PLANNED AND WAS UNRELATED TO THIS ISSUE. I WAS NOT INFORMED BY PNC THAT I WOULD BE RESIGNING UNDER THEIR PERMISSION.
Date: November 08, 2011 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT MR. LE CONTINUOUSLY TOLD THEM THAT THE VARIABLE ANNUITIES HE RECOMMENDED IN APRTIL 2011 WOULD NOT LOSE VALUE. Damage Amount Requested: $28,089.63
Date: May 31, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: October 01, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released
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