There are options for clients of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Howard Woo (CRD# 4606756), who is accused of misrepresentation. He has been registered with UBS Financial Services Inc. in Irvine, California, since 2022. Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Irvine, California, from 2009 to 2022.
Howard Woo Customer Complaints
He has been the subject of one customer complaint in 2022, according to his CRD report:
October 2022. “Clients allege representative made misrepresentations beginning in May 2021.” The customer is seeking $250,000 in damages, and the case is currently pending. The complaint was regarding mutual fund losses, and it took place while he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Merrill Lynch, Pierce, Fenner & Smith Incorporated may be liable for investment or other losses suffered by Howard Woo’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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