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Written by 4:47 pm Blog, Current Investigations

Robert H. Hoffman Broker Investigation

Robert H. Hoffman Broker Investigation, featured by top securities fraud attorneys, The White Law Group

Financial Advisor Robert H. Hoffman, Woodbury Financial Services in Greenwood, IN

Are you concerned about investments with Robert H. Hoffman in Greenwood, IN? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

According to public disclosures on FINRA’s website, after allegedly failing to respond to a request for information in its investigation, Hoffman was reportedly barred for from working in the securities industry. FINRA was reportedly investigating “allegations by a customer concerning, among other things, potential unsuitable recommendations, unauthorized transactions, excessive trading, and private securities transactions.”

According to his FINRA BrokerCheck report, Hoffman was reportedly affiliated with Woodbury Financial Services in Greenwood, IN from July 2006 until March 2017.

He purportedly has 3 customer complaints reported on his broker record. Allegations include suitability, unauthorized trades, churning and selling away, among others. Hoffman’s broker report also indicates he allegedly filed for personal bankruptcy in February 2018.

Investigating Potential Claims

The White Law Group is investigating potential lawsuits regarding the liability that Hoffman’s former employers may have for failure to properly supervise him.

When brokers violate securities laws, such as making unauthorized or unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration.

Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.

We represent investors in FINRA arbitration claims in all 50 states, including Indiana. Our attorneys have recovered millions of dollars from many brokerage firms in the past.

If you have suffered losses investing with Robert H. Hoffman, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.

For more information on The White Law Group, and its representation of investors, please visit whitesecuritieslaw.com.


Tags: , , , , , , , , Last modified: December 20, 2022