{"id":2842,"date":"2016-01-10T00:00:00","date_gmt":"2016-01-10T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-permanently-bars-honetta-c-kao-after-allegations-of-unauthorized-trading-and-mishandled-accounts\/"},"modified":"2018-10-08T12:40:05","modified_gmt":"2018-10-08T16:40:05","slug":"finra-permanently-bars-honetta-c-kao-after-allegations-of-unauthorized-trading-and-mishandled-accounts","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-permanently-bars-honetta-c-kao-after-allegations-of-unauthorized-trading-and-mishandled-accounts\/","title":{"rendered":"FINRA Permanently Bars Honetta C. Kao After Allegations of Unauthorized Trading and Mishandled Accounts"},"content":{"rendered":"<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-2400\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Permanently-Bars-Honetta-C.-Kao-After-Allegations-of-Unauthorized-Trading-and-Mishandled-Accounts.jpg\" alt=\"FINRA Permanently Bars Honetta C. Kao After Allegations of Unauthorized Trading and Mishandled Accounts on silverlaw.com\" width=\"634\" height=\"422\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Permanently-Bars-Honetta-C.-Kao-After-Allegations-of-Unauthorized-Trading-and-Mishandled-Accounts.jpg 743w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Permanently-Bars-Honetta-C.-Kao-After-Allegations-of-Unauthorized-Trading-and-Mishandled-Accounts-300x200.jpg 300w\" sizes=\"auto, (max-width: 634px) 100vw, 634px\" \/><\/p>\n<h2>Numerous customer complaints surface over the course of his work history with various firms<\/h2>\n<p style=\"text-align: justify;\">On August 4, 2015, Honetta C. Kao was suspended by the FINRA for failure to respond to their request for information. And in November, he was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.<\/p>\n<p style=\"text-align: justify;\">Kao\u2019s industry experience incudes ten different firms and on record, dates back to 2005 when he worked for Custom Capital Corporation in Brooklyn, New York. Accused of mishandling accounts, giving bad investment advice, making unsuitable recommendations and unauthorized trades, Kao racked up numerous customer complaints and damages while working at Meyers Associates, L.P. and Caldwell International Securities, both in New York.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/finra-permanently-bars-honetta-c-kao-after-allegations-of-unauthorized-trading-and-mishandled-accounts\/\"  title=\"Continue Reading FINRA Permanently Bars Honetta C. Kao After Allegations of Unauthorized Trading and Mishandled Accounts\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Numerous customer complaints surface over the course of his work history with various firms On August 4, 2015, Honetta C. Kao was suspended by the FINRA for failure to respond to their request for information. And in November, he was permanently barred from acting as a broker or otherwise associating with firms that sell securities [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[599],"tags":[415,35],"class_list":["post-2842","post","type-post","status-publish","format-standard","hentry","category-securities-arbitration","tag-mishandled-accounts","tag-unauthorized-trading"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Permanently Bars Honetta C. Kao After Allegations of Unauthorized Trading and Mishandled Accounts &#8212; Securities Arbitration Lawyers Blog &#8212; January 10, 2016<\/title>\n<meta name=\"description\" content=\"Check out the new article\u00a0FINRA Permanently Bars Honetta C. Kao After Allegations of Unauthorized Trading and Mishandled Accounts on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-permanently-bars-honetta-c-kao-after-allegations-of-unauthorized-trading-and-mishandled-accounts\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Permanently Bars Honetta C. Kao After Allegations of Unauthorized Trading and Mishandled Accounts &#8212; Securities Arbitration Lawyers Blog &#8212; January 10, 2016\" \/>\n<meta name=\"twitter:description\" content=\"Check out the new article\u00a0FINRA Permanently Bars Honetta C. Kao After Allegations of Unauthorized Trading and Mishandled Accounts on silverlaw.com\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Permanently-Bars-Honetta-C.-Kao-After-Allegations-of-Unauthorized-Trading-and-Mishandled-Accounts.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Permanently Bars Honetta C. Kao After Allegations of Unauthorized Trading and Mishandled Accounts &#8212; Securities Arbitration Lawyers Blog &#8212; January 10, 2016","description":"Check out the new article\u00a0FINRA Permanently Bars Honetta C. 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Kao After Allegations of Unauthorized Trading and Mishandled Accounts on silverlaw.com","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Permanently-Bars-Honetta-C.-Kao-After-Allegations-of-Unauthorized-Trading-and-Mishandled-Accounts.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/finra-permanently-bars-honetta-c-kao-after-allegations-of-unauthorized-trading-and-mishandled-accounts\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-permanently-bars-honetta-c-kao-after-allegations-of-unauthorized-trading-and-mishandled-accounts\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"FINRA Permanently Bars Honetta C. 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