Howard Woo Investigation
June 2023 – Irvine, CA
According to publicly available records Howard Woo , a broker with UBS Financial Services, Inc. discloses a pending customer dispute
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA case #22-02416, filed by a Merrill Lynch, Pierce, Fenner & Smith customer, alleged Woo made misrepresentations beginning in May 2021 in connection with an investment in mutual funds and is seeking damages of $250,000. This case is currently pending.
Woo has been employed by UBS Financial Services, Inc. since 9/2022. Prior to that he was with Merrill Lynch, Pierce, Fenner & Smith from 7/2009 – 9/2022,
If you have losses in an account that was handled by Howard Woo contact us for a no charge consultation to learn how you may be entitled to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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