Goodman & Nekvasil P.A, May Recover Investor Losses – Ka Keung Lam (Eric Lam) Barred from Securities Industry and Fired by Pruco Securities, LLC.
From 2011 until Eric Lam’s firing in 2016, Eric Lam was licensed with Pruco Securities, LLC. According to FINRA records, Eric Lam was fired on April 26, 2016. Pruco Securities, LLC. reported to FINRA that Eric Lam was fired after Eric Lam submitted, or allowed another registered representative to submit on Eric Lam’s behalf, false information and a matching gift receipt to the Company, which matches qualifying charitable donations by employees for a charitable donation Eric Lam did not make, and false information to the Company regarding volunteer hours.
Subsequent to Eric Lam’s firing, FINRA brought a disciplinary action against Eric Lam in 2017. FINRA reports that Eric Lam consented to a bar from the securities industry. Eric Lam consented to the entry of findings that Eric Lam refused to appear for FINRA requested on-the-record testimony during the course of an investigation into the circumstances surround Eric Lam’s termination from Eric Lam’s member firm. The findings stated that the firm filed a Form U5 disclosing that it discharged Eric Lam because of false information submitted to the firm.
If you lost any money on investments with Eric Lam, you may be able to recover your losses from Pruco Securities, LLC. This is because Pruco Securities, LLC. had a duty to supervise Eric Lam.
If you lost money on investments with Eric 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 Pruco Securities, LLC., concerning Eric 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 $300 million on behalf of victimized investors. If you lost money on any investments with Eric 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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