LOS ANGELES, CALIFORNIA –  Have you lost money with financial advisor Hung Brandon Ly of Los Angeles, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Hung Brandon Ly.  FINRA barred Ly after he failed to respond to an investigation.  Ly was being investigated after he was terminated by Wells Fargo.

Hung Ly was a financial advisor and registered representative of Wells Fargo from October 2014 to September 2019.  He worked at a branch office in Los Angeles, California.

Brokerage firms like Wells Fargo have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California in the past.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Wells Fargo.

View FINRA AWC:  Ly, Hung Brandon FINRA AWC

View BrokerCheck:  Ly, Hung Brandon BrokerCheck 6.24.21

If you lost money with Hung Brandon Ly or Wells Fargo contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.