Erez Law is currently investigating USCA Securities LLC broker John Howle (CRD# 1284162) regarding investment losses. He has been registered with USCA Securities LLC in Dallas, Texas, since 2014, and U.S. Capital Wealth Advisors, LLC in Austin, Texas, since 2021. He was registered with Raymond James & Associates, Inc. in Dallas, Texas, from 2002 to 2014, when he was terminated regarding, “Discharged. loss of confidence. failure to follow firm’s policy regarding advisory accounts.” He was registered with May Financial Corporation in Dallas, Texas, from 1996 to 2022, SWS Securities Inc. in Dallas, Texas, from 2001 to 2002, Southwest Securities, Inc. in Dallas, Texas, from 1995 to 1996, Barre & Company, Incorporated in Dallas Texas, from 1988 to 1995, Addison Securities, Inc. in Dallas, Texas, from 1987 to 1988, and Dean Witter Reynolds Inc. in Dallas, Texas, from 1984 to 1987, when he was terminated regarding “none bond was denied.”
John Howle Customer Complaints
He has been the subject of two customer complaints between 2008 and 2024, one of which was denied, according to his CRD report:
May 2024. “Claimant makes claims related to the recommendation and performance of specific securities purchased in her accounts from 2017 to 2022 which were selected as part of a broader strategy. Overall, while at the firm, claimants accounts were profitable and supported the income needs of the claimant.” The customer is seeking $499,999 in damages, and the case is currently pending. The complaint was regarding bond funds, closed end funds, and exchange traded funds, and it took place while he was registered with USCA Securities LLC.
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, USCA Securities LLC may be liable for investment or other losses suffered by John Howle’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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