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Weina Hou Allegedly Made Misrepresentations

Weina Hou (CRD #: 5901613), a broker registered with Cetera Investment Services, was involved in a recent dispute, according to her BrokerCheck record, accessed on July 13, 2022. Investors may also have engaged her services through Cetera Investment Advisers. If you want to know more about Weina Hou’s conduct as a broker, keep reading.

Investor Dispute

On May 6, 2022, an investor alleged that Weina Hou made misrepresentations related to their investment portfolio. This dispute was denied by the firm.

Investors should know, however, that firms can deny disputes without an external review. Investors can potentially recover their funds following a denial by pursuing FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 bans the use of deception, manipulation, and other unethical means of influencing investors’ decisions. The misrepresentation or omission of information concerning an investment’s limitations, risks, or potential returns also violate this rule.

Background Information

Weina Hou has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Weina Hou is a registered broker in California, New Hampshire, Oregon, and Wisconsin. She is also a registered investment adviser in California.

She has worked for the following firms:

  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • MetLife Securities (CRD#:14251)
  • Pruco Securities (CRD#:5685)

Kurta Law Can Help

If you worked with Weina Hou 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.