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Investors Allege Howard Woo Made Misrepresentations

Howard Woo (CRD #: 4606756), a broker registered with UBS Financial Services, is the subject of a pending dispute, according to his BrokerCheck record, accessed on January 4, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On October 21, 2022, multiple investors filed a dispute alleging that Howard Woo made misrepresentations starting in May 2021. They seek $250,000 in damages in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 bans the use of manipulative or deceptive tactics to influence investors’ decisions. Misrepresenting an investment’s risks, requirements, or potential returns violates this rule.

Background Information

Howard Woo has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 3 – National Commodity Futures Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination
  • Series 10 – General Securities Sales Supervisor – General Module Examination
  • Series 9 – General Securities Sales Supervisor – Options Module Examination

Howard Woo is a registered broker in 14 states and a registered investment adviser in California and Texas.

He has also worked for the following firms:

  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Morgan Stanley Smith Barney (CRD#:149777)
  • Citigroup Global Markets (CRD#:7059)
  • Wells Fargo Investments (CRD#:10582)

Kurta Law Can Help

If you worked with Howard Woo and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.