Caitlin Margaret Lam at MMA SECURITIES LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 6933979
Caitlin Margaret Lam is an Investment Adviser, associated with MMA SECURITIES LLC located at Minneapolis, MN. Caitlin Lam’s Central Registration Depository (CRD) number is 6933979 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for Caitlin Lam

    • Event Date: 5/5/2008
    • Disclosure Type: Criminal
    • Resolution: Final Disposition
    • Criminal Charges :: Charges: Drugs – 2nd Degree – Possess 6 Grams or More Cocaine/Heroin/Meth
    • Disposition: Dismissed Charges: Drugs – 5th Degree – Possess Schedule 1,2,3,4 – Not Small Amount Marijuana
    • Disposition: Dismissed Charges: Drugs – 4th Degree – Possess Schedule 1/2/3 Except Marijuana with Intent to Sell
    • Disposition: Dismissed
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Should I file a FINRA complaint against brokers like Caitlin Margaret Lam?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by Caitlin Margaret Lam’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About Caitlin Margaret Lam

What is Caitlin Lam's Central Registration Depository (CRD) Number?

6933979

Which firm is Caitlin Margaret Lam associated with?

MMA SECURITIES LLC

Where is Caitlin Lam located?

6160 Golden Hills Drive, Minneapolis, MN, 55416

Where can I find more details about Caitlin Lam's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/44254 to read a detailed report for MMA SECURITIES LLC

Are there any disclosures, allegations or complaints filed against Caitlin Margaret Lam?

Yes. There are disclosures, allegations, or complaints filed against Caitlin Margaret Lam. Click here to view all details

Where can I download a detailed FINRA report for Caitlin Lam?

Click here to download a detailed FINRA report for Caitlin Lam

Is it safe to do business with Caitlin Margaret Lam?

We’re not sure. Please research Caitlin Lam’s disclosures, allegations and complaints before taking a decision

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