Robert Hoffmann — Alleged Unsuitable Trading Recommendations & Unauthorized Transactions

Rochester stockbroker fraud attorneyRobert H. Hoffmann Allegedly Engaged in Unsuitable Trading Recommendations, Unauthorized Transactions, Excessive Trading, and Private Securities Transactions

Robert Hoffmann, who was registered with Woodbury Financial Services in Greenwood, Indiana from July 2006 through March 2017, allegedly engaged in potential unsuitable recommendations, unauthorized transactions, excessive trading, and private securities transactions, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Jason Kane and James Booker.

Investors who believe they may have lost money in activity related to Robert Hoffmann‘s alleged potentially unsuitable recommendations and unauthorized transactions are encouraged to contact attorneys Jason Kane or James Booker with any useful information or for a free, no obligation discussion about their options.

The Peiffer Wolf Carr & Kane securities lawyers are currently investigating Robert Hoffmann‘s alleged potentially unsuitable recommendations and unauthorized transactions.

Robert Hoffmann began his securities career at Northwestern Mutual Investment Services in 1999 and moved to Woodbury in 2006, and stayed there for just over 10 years, the AWC notes. Hoffman is now no longer working in the securities business, according to the aforementioned AWC.

Robert H. Hoffmann Barred by FINRA for Allegedly Failing to Take Part in an Investigation Researching His Purportedly Unsuitable Trading Recommendations

FINRA has barred Robert H. Hoffmann, a former broker with Woodbury Financial Services, for failing to take part in an investigation looking into his trading recommendations, according to the aforementioned AWC currently being reviewed by attorneys Jason Kane and James Booker.

In October, FINRA staff sent a request to Hoffmann for on-the-record testimony in connection with an investigation into allegations of the aforementioned alleged misconduct while Hoffmann was with Woodbury Financial Services, the AWC notes.

As stated by his counsel in an e-mail to FlNRA staff on October 17, 2017, Hoffmann allegedly acknowledges that he received FINRA’s request and will not appear for on-the- record testimony at any time, the AWC reports.

Hoffman, by refusing to appear for on-the-record testimony as requested pursuant to FINRA Rules, allegedly violated FINRA Rules and therefore has been barred by FINRA, the AWC notes.

Finally, one should also note that, according to the AWC, Robert Hoffmann neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Wolf Carr & Kane securities lawyers often represent investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Robert Hoffmann‘s alleged potentially unsuitable recommendations and unauthorized transactions. 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 Robert Hoffmann‘s alleged potentially unsuitable recommendations and unauthorized transactions may contact the securities lawyers at Peiffer Wolf Carr & Kane, Jason Kane or James Booker, for a free no-obligation evaluation of their recovery options, at (585) 310-5140 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

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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.