Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Robert Hoffman. If you suffered losses investing with Robert Hoffman, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Robert Hoffman (CRD# 4008798)
As of October 1, 2019, Robert Hoffman’s FINRA BrokerCheck Report contains the following:
3 Customer Dispute(s)
3 Regulatory Event(s)
1 Financial Disclosure(s)
Current and Previous Registrations
04/17/2017 – 05/24/2017 THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. (CRD#:8478) INDIANAPOLIS, IN
07/05/2006 – 03/16/2017 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) GREENWOOD, IN
10/27/1999 – 05/15/2006 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) INDIANAPOLIS, IN
10/27/1999 – 01/01/2002 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.