Ronald Wingkai Lam (Ronald Lam) a/k/a Ronald Wing Kai Lam Fired by Wells Fargo Advisors, LLC - Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses - Ronald Wingkai Lam (Ronald Lam) a/k/a Ronald Wing Kai Lam Fired by Wells Fargo Advisors, LLC 

From 2011 until Ronald Lam’s firing in 2015, Ronald Lam was licensed with Wells Fargo Advisors, LLC. Ronald Lam is now licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Ronald Lam was fired by Wells Fargo Advisors, LLC on October 14, 2015. Wells Fargo Advisors, LLC reported to FINRA that Ronald Lam was accused of failing to enter trades in a timely manner.

FINRA reports that two complaints involving Ronald Lam’s conduct with Wells Fargo Advisors, LLC were filed, alleging Ronald Lam made three unauthorized investments which resulted in losses and/or made transactions to buy three oil securities without client authorization. These two complaints both settled. 

If you lost any money on investments with Ronald Lam, you may be able to recover your losses from Wells Fargo Advisors, LLC and/or Ameriprise Financial Services, Inc. This is because Wells Fargo Advisors, LLC and Ameriprise Financial Services, Inc. had a duty to supervise Ronald Lam.

If you lost money on investments with Ronald Lam, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Wells Fargo Advisors, LLC and/or Ameriprise Financial Services, Inc. concerning Ronald Lam’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years.  Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on investments with Ronald Lam, and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.  

 

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