(888) 637-5510

Written by 9:37 pm Blog, Current Investigations, Securities Fraud Articles

FINRA Bars Clay E. Hoffman from the Securities Industry


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.

Free Consultation

The foregoing information, which is all publicly available, is being provided by The White Law Group. If you have concerns about an investment you have made with your financial advisor, please call for a free consultation, at (888) 637-5510.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. The firm represents investors throughout the country in claims against their brokerage firm.

For more information on The White Law Group, visit www.WhiteSecuritiesLaw.com.



Tags: , , , , , , Last modified: March 25, 2019