Investors potentially incurred losses because of securities broker George Wilson Howe [CRD: 2768019, Austin, Texas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. George Howe has been registered with LPL Financial LLC since May 29, 2025, and previously worked for U.S. Capital Wealth Advisors LLC from June 30, 2021, to June 18, 2025, as well as USCA Securities LLC from April 29, 2013, to June 18, 2025, and USCA RIA LLC from April 29, 2013, to June 30, 2021. Keep reading to learn more about the disclosures involving this securities broker.
Evidently, a client filed a complaint about George Howe. Mainly, the client alleged that Howe engaged in unauthorized trading. Because of this, the client allegedly incurred damages pertaining to stocks. As a result, on October 25, 2023, USCA Securities LLC settled this matter by paying the client $16,000 in damages.
Additionally, a client of USCA Securities LLC contested George Howe’s sales practices by filing FINRA Arbitration No. 21-02943. Allegedly, Howe breached his fiduciary duty, was negligent, and negligently supervised certain representatives. It appears that Howe allegedly caused the client to sustain damages. Therefore, USCA Securities LLC opted to settle the matter on May 4, 2023, by compensating the client in the amount of $20,000.
Particularly, on December 21, 2005, a Raymond James Associates Inc. client filed a complaint about George Howe. Primarily, the client alleged that Howe made omissions. For this reason, the client allegedly sustained damages linked to variable annuities. Consequently, the client requested $16,000 in compensation from Raymond James Associates Inc. or Howe. However, the firm denied this complaint.
Are you concerned about investments you made through George Howe? You can contact Soreide Law Group at (888) 760-6552 or online and speak with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the country. Also, our securities attorneys work on a contingency fee basis and advance all costs. Howe and brokerage firms Howe worked for deny any accusations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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