DID BRIAN J HAMM CAUSE YOU INVESTMENT LOSSES?
About Brian Hamm of J.W. Cole Financial, Inc.?
Brian Hamm (CRD #5801533) is currently registered with J.W. Cole Advisors, Inc. and J.W. Cole Financial, Inc. in Slinger, Wisconsin, having joined these firms on January 25, 2019. He has previously worked with Mutual of Omaha Investor Services, Inc. from July 2010 until January 2019. Hamm is registered in two U.S. states and has passed two general industry/product exams as well as two multi-state securities law exams. His career reflects a stable trajectory within the financial advisory and brokerage sectors, emphasizing his long-standing service and expertise in the industry.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Brian Hamm Customer Complaints and Reviews
Brian J. Hamm has one customer dispute reported:
- Customer Dispute (Pending): A complaint filed on April 24, 2024, involves allegations against Hamm for providing inaccurate financial advice regarding the disbursement of trust funds, purportedly resulting in unforeseen tax liabilities. This matter is currently under arbitration with FINRA and is pending resolution.
Allegations Against Brian Hamm
The specific allegation against Brian J. Hamm includes:
- Inaccurate Financial Advice: Hamm is accused of giving flawed advice concerning the disbursement of funds from a trust, which allegedly led to additional tax liabilities for the trustee. This pending complaint underscores a significant fiduciary responsibility issue.
Brian Hamm Red Flags & Your Rights As An Investor
Of course, Brian Hamm did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Hamm at J.W. Cole Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brian Hamm has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.W. Cole Financial, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At J.W. Cole Financial, Inc. Due To Brian Hamm
If you have questions about J.W. Cole Financial, Inc. and/or Brian Hamm and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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