Did you incur investment losses with Honetta Kao?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Honetta Kao formerly of Meyers Associates L.P. and Caldwell International Securities related to alleged willful violations of securities laws and FINRA rules.
Kao has been barred by FINRA.
Fortunately, for those investors that incurred losses investing with Kao may be able to recover those losses through the FINRA arbitration process.
Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of their Broker(s).