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Read MoreChi-I Huang: $350K Complaint Against Integral Financial Advisor
A recent investor complaint against San Jose, California financial advisor Chi-I Huang (CRD# 5387713) alleges that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Integral Financial.
Ms. Huang’s BrokerCheck report discloses one investor complaint. Filed in February 2025, it alleges that as a representative of Integral Financial, she engaged in unspecified conduct in connection with corporate bond investments. The pending complaint alleges damages of $350,000.
Integral Financial’s BrokerCheck report discloses two sanctions against the firm. The most recent, filed by the Securities and Exchange Commission in 2021, alleged that the firm failed to reasonably supervise representatives who unsuitably recommended “highly-complex and high-risk variable interest rate structured products” to retail customers. In connection with these findings, the SEC censured the firm and ordered it to pay a fine of $85,000.
A second sanction, initiated by FINRA in 2013, alleged that the firm failed to comply with advertising rules. In connection with these findings, FINRA censured the firm and ordered it to pay a fine of $50,000.
The firm’s BrokerCheck report also discloses one investor complaint. Filed in 2006, it alleged unauthorized trading and supervisory failures. It evolved into an arbitration proceeding before a NASD panel, which issued an ordered to the customer of $35,209.75.
According to the Financial Industry Regulatory Authority, Chi-I Huang holds 17 years of securities industry experience. Based in San Jose, California, she has been registered as a broker with Integral Financial since 2007. Her credentials include the passage of four securities industry qualifying exams: the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Principal Examination, or Series 24; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7. She is licensed in California. (Information current as of April 13, 2025.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.
