Nghi Thanh Ho of Houston Texas a stockbroker formerly registered with IMS Securities Inc. is referenced in a customer initiated investment related written complaint on February 13, 2017 where the customer sought $175,400.00 in damages based upon accusations that misrepresentations had been made to the customer concerning investments in a variable annuity.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on March 26, 2009, Ho was discharged by his prior firm, LPL Financial, founded on allegations that he borrowed funds from a customer of the firm in violation of the firm’s policy.
Ho’s registration with IMS Securities, Inc. has been terminated as of November 14, 2017. Since November 17, 2017, he has been employed by Calton & Associates, Inc.
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