VU HOANG CHAU is currently employed as a Broker and/or Investment Adviser at PRINCIPAL SECURITIES, INC. located at 500 YGNACIO VALLEY RD, STE 150, WALNUT CREEK, CA, 94596.
VU HOANG CHAU has worked at PRINCIPAL SECURITIES, INC. since September 02, 2014
Disclosure History
VU HOANG CHAU has 1 Disclosure Event(s).
Date: May 20, 2014 Category: Employment Separation After Allegations Firm Name: MORGAN STANLEY SMITH BARNEY, LLC Termination Type: Discharged Allegations: ALLEGATIONS RELATING TO VIOLATION OF FIRM SOLICITATION POLICY FOR FINANCIAL ADVISOR TRAINEES. Broker Comment: I HAD ACCIDENTALLY RECOMMENDED SOME BLUE CHIP AND NON PENNY STOCKS (GIS, KMP, FUEL)TO CLIENT WITHOUT KNOWING FIRM ANALYST DOWNGRADE. POLICY SAYS FINANCIAL TRAINEE WITH LESS THAN 3 YRS EXPERIENC CANNOT RECOMMEND STOCKS THAT THE FIRM DOES NOT HAVE A FAVORABLE VIEW ON. INTERNAL FIRM POLICY BREACH TERM. NOT A FINRA VIOLATION.
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