April 2017 – Houston, TX
According to publicly available records Nghi Thanh Ho, (CRD#2327672) , a stockbroker who is currently registered with IMS Securities discloses one pending customer dispute and a separation from employment.
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 February 2017, a customer of IMS Securities filed a claim alleging damages of $175,400 for misrepresentation by Nghi Thanh Ho in connection with an investment in variable annuities.
Nghi Thanh Ho has been employed by IMS Securities since 9/2012. His prior employment includes Next Financial Group, Inc, LPL Financial and Edward Jones. He discloses a business relationship with Royal Oaks Financial Group of Houston, TX.
In 3/2009 Nghi T. Ho was discharged by LPL Financial who made the following allegation: “Discharged for violating firm policy relating to the borrowing of funds from a client.”
IMS Securities has been a FINRA member since 1994 and is headquartered in Houston, TX. They have about 105 associated persons and 57 branch offices.
If you have questions about an account in an account handled by Hghi Thanh Ho, contact us to discuss your legal options.
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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