FINRA June 2017 Disciplinary Report
According to the Financial Industry Regulatory Authority, Clay E. Hoffman (CRD #4371162, Brunswick, Georgia) was barred from association with any FINRA member in all capacities.
The sanction is based on findings that Hoffman failed to respond to FINRA’s information requests in connection with its investigation into allegations that he had engaged in, among other things, unsuitable transactions, unauthorized transactions, excessive trading and fraud.
For FINRA’s full findings see FINRA Case #2015045207702.
According to his FINRA BrokerCheck report, Clay E. Hoffman was registered with Summit Brokerage Services in Brunswick, GA from 05/06/2013 – 03/01/2016. He has nineteen disclosure events listed on his Broker Report.
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