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Peter Ho Allegedly Failed to Follow Client’s Instructions

Peter Ho (CRD #: 6355666), a broker registered with Morgan Stanley, was involved in a recent investor dispute, according to his BrokerCheck record, accessed on November 30, 2022. If you have questions about his conduct as a broker, keep reading.

Investor Dispute

On September 28, 2022, an investor alleged that Peter Ho failed to follow instructions with regard to investments selected in 2022. This dispute was denied by the firm.

Investors should be aware, however, that firms can deny disputes without an external review. Investors may be able to recoup their losses after a denial by pursuing FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Peter Ho has passed the following exams:

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

Peter Ho is a registered broker in 22 states and a registered investment adviser in New Jersey, New York, and Texas.

Kurta Law Can Help

If you worked with Peter Ho and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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. 

 

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