VICKY NGOC DO is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 433 N CAMDEN DR, 9TH FL, STE 900, BEVERLY HILLS, CA, 90210.
VICKY NGOC DO has worked at WELLS FARGO CLEARING SERVICES, LLC since April 20, 2012
Disclosure History
VICKY NGOC DO has 1 Disclosure Event(s).
Date: June 17, 2013 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE INVESTMENT ADVISORY ASSET ALLOCATION RECOMMENDATION WAS NOT SUITABLE IN LIGHT OF THE CLIENT'S RISK PROFILE. (05/15/2013-06/17/2013) Damage Amount Requested: $22,000.00 Broker Comment: THIS SOPHISTICATED CLIENT WAS PROFILED FOR HIS INVESTMENT OBJECTIVES, RISK TOLERANCE AND TIME HORIZON. CLIENT WAS RECOMMENDED A CONSERVATIVE, WELL DIVERSIFIED MANAGED INVESTMENT PLAN. ALL INVESTMENTS WERE REVIEWED AND HISTORICAL RETURNS, MARKET RISKS, POTENTIAL MARKET FLUCTUATIONS, AND MARKET VOLATILITY WERE DISCLOSED. ALL NECESSARY INVESTMENT LITERATURE WAS PROVIDED TO THE CLIENT, AND ALL DISCUSSIONS OCCURRED IN FRONT OF A WITNESS (WELLS FARGO PRIVATE BANKER). SUBSEQUENT TO THE INVESTMENT, SUDDEN INTEREST RATE MOVEMENT IN LATE MAY 2013 CAUSED A 3% DECREASE IN VALUE OF CLIENT PORTFOLIO. CLIENT WAS AWARE OF RISKS AND AGREED TO THE INVESTMENT, AND THE ALLEGATIONS ARE COMPLETELY WITHOUT MERIT.
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