July 10, 2017 Comments (0) Blog, Current Investigations, Securities Fraud

FINRA Bars Clay E. Hoffman from the Securities Industry

FINRA
(Last Updated On: July 24, 2017)

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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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.

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