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Kevin Ho Allegedly Failed to Give Required Information to Investors

Kevin Ho (CRD #: 6699851) has been fired from his position at Merrill Lynch, Pierce, Fenner & Smith. This is according to his BrokerCheck record, accessed on April 19, 2022. Details regarding his termination have been provided below.

On December 15, 2021, Merrill Lynch fired Kevin Ho following allegations that he failed to provide required disclosures during client conversations. Regulation Best Interest requires brokers to disclose the following information:

  • The fees associated with a particular investment
  • Any conflicts of interest the brokerage firm might have
  • Whether the firm and its associated brokers have any disciplinary history

Background Information

  • Series 66 Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

Kevin Ho has only ever worked with Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691).

Kurta Law Can Help

If you worked with Kevin Ho 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.