One or more investors possibly experienced losses because of securities broker John Austin Howle [CRD: 1284162, Dallas, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Howle worked for USCA Securities LLC beginning August 1, 2014, and also registered with U.S. Capital Wealth Advisors LLC as of June 30, 2021. Previously, he worked for USCA RIA LLC from August 28, 2014 to June 30, 2021. Continue reading to find out more about disclosures linked to Howle’s professional conduct.
Notably, a USCA Securities LLC client filed FINRA Arbitration No. 24-01014 about John Howle. The client alleged that Howle made unsuitable recommendations regarding an investment strategy involving bond funds, exchange traded funds, and closed end funds. Because of this, the client allegedly sustained damages. Therefore, on May 14, 2025, USCA Securities settled this matter by paying the client $14,999.00 in damages.
Particularly, a client of Raymond James Associates Inc. contested John Howle’s sales practices, according to a complaint dated December 1, 2008. Allegedly, Howle made unsuitable recommendations. It appears that Howle allegedly caused the client to sustain damages linked to mutual funds. Therefore, the client sought compensation from Raymond James. However, the firm denied this complaint.
Howle was discharged from Raymond James Associates Inc. on July 1, 2014, for allegedly failing to follow firm policy regarding advisory accounts. On April 1, 1987, Dean Witter Reynolds also discharged Howle after its underwriter denied his bond.
Do you need clarification on any investment losses relating to John Howle? You can reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney. Soreide Law Group helps recover losses for investors throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Howle and brokerage firms Howle worked for deny 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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