John Charles Kautter II—Permitting Pass-through of Funds

Rochester stockbroker fraud attorneyJohn Charles Kautter II Allegedly Permitted the Pass-through of Funds from Securities Customer to George Hoffman, away from Hoffman’s Member Firm, and Did Not Execute Appropriate Measures to Obtain the Relevant Facts Relating to Said Transaction

John Charles Kautter II allegedly permitted the pass-through of funds from a securities customer to George Hoffman away from Hoffman’s member firm employer, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Joe Peiffer and Alan Rosca.

What is more, John Charles Kautter II also allegedly then did not execute appropriate measures to obtain the relevant facts relating to said transaction, according to said Complaint.

The Peiffer Rosca Wolf securities lawyers are currently investigating John Charles Kautter II’s alleged pass-through of funds from a securities customer.

John Charles Kautter II, While a Registered Representative associated with New England Securities (NES), Allegedly and Knowingly Received a Wire Transfer of $36,000 from a Private Customer’s Account

John Charles Kautter II, while registered rep associated with New England Securities (NES), allegedly and knowingly received a wire transfer of $36,000 from the account of private customer, known only as MRB, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Joe Peiffer and Alan Rosca.

MRB was an elderly securities customer whose account was serviced by registered representative George Hoffman, the Complaint also notes. By taking such action, Kautter II allegedly and improperly facilitated a $36,000 loan to Hoffman via Hoffrnan’s elderly customer, the Complaint reports.

By doing so and ignoring warning signs that the transaction may be improper, John Charles Kautter II allegedly violated FINRA Rules  which state that a “member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.” One should also note that, according to the AWC, John Charles Kautter II neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged permission of the pass-through of funds from a securities customer and are currently investigating John Charles Kautter II’s alleged permission of the pass-through of funds. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of John Charles Kautter II’s alleged permission of the pass-through of funds may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1180 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.