DID KIMSON HUU CAO CAUSE YOU INVESTMENT LOSSES?
About Kimson Cao Edward Jones?
Kimson Cao (CRD #4357783) is currently employed with Edward Jones in Houston, Texas, where he has been since November 1, 2010. He has a longstanding career in the financial services industry, having previously worked with several firms including Jonathan Roberts Advisory Group, J.W. Cole Financial, Inc., and Linsco/Private Ledger Corp. Cao is registered with four Self-Regulatory Organizations (SROs) and is licensed to operate in 13 U.S. states and territories. He has passed three key securities industry exams: the Securities Industry Essentials Examination, the General Securities Representative Examination, and the Uniform Securities Agent State Law Examination. His professional qualifications also include a Certified Financial Planner designation.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Kimson Cao Customer Complaints and Reviews
Kimson H. Cao has one reported customer dispute:
- Pending Customer Dispute: Initiated on May 15, 2024, a petitioner, acting as a guardian over the decedent’s accounts, has raised allegations suggesting a conflict of interest against Cao. The complaint involves a referral of the client to an estate attorney at a time when the client allegedly had diminished capacity, purportedly to secure Cao’s role as the lifelong advisor over the investments. No specific damages were cited, but the firm made a good faith determination that potential damages from the alleged conduct, if proven, could exceed $5,000.
Allegations Against Kimson Cao
- Allegation in Pending Customer Dispute: The allegation involves potential conflict of interest where Kimson Cao is accused of inappropriately referring a client with diminished capacity to an estate attorney. This referral is claimed to be an attempt to secure Cao’s long-term control over the client’s investments. The complaint is currently pending and involves complex issues related to the ethical conduct and responsibilities of a financial advisor.
Kimson Cao Red Flags & Your Rights As An Investor
Of course, Kimson Cao did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kimson Cao at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Kimson Cao has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Edward Jones Due To Kimson Cao
If you have questions about Edward Jones and/or Kimson Cao and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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