Have you lost money with financial advisor Weiming “Frank” Ho of San Jose, California? We are looking into allegations made by the Securities and Exchange Commission (SEC) against Weiming “Frank” Ho. The SEC alleged that Ho and his firm, Integral Financial, failed to supervise four representatives. The SEC alleged that the representatives of Integral Financial sold complex and unsuitable investments in variable interest rate structured products. The SEC suspended Ho in a supervisory capacity for six months and was fined $30,000.

Weiming Ho has been a financial advisor and registered representative of Integral Financial from 2002 to the present. He worked at a branch office in San Jose, California. Ho has been the subject of at least two customer complaints. He was also under investigation by FINRA in 2013.

Brokerage firms like Integral Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

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If you lost money with Weiming Ho or Integral Financial, please Contact Us at 720-599-3505 for a free evaluation of your case.