DID KERRY LEE HOFFMAN CAUSE YOU INVESTMENT LOSSES?
Kerry Hoffman Formerly With Union Capital Company and LPL Financial LLC Has 8 Customer Complaints For Alleged Broker Misconduct
Who is Kerry Hoffman formerly with Union Capital Company?
Kerry Hoffman (CRD #1061740) who was formerly registered with Union Capital Company and located in Chicago, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Union Capital Company, Kerry Hoffman was associated with LPL Financial LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Kerry Hoffman Customer Complaints
Kerry Hoffman has been the subject of 8 customer complaints that we know about to recover investment losses. Six of the customer disputes were settled in favor of the investors by LPL Financial. One customer complaint was denied by First Union Securities and the customer took no further action. There is currently one customer complaint pending.
Allegations Against Kerry Hoffman
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Sale of unregistered securities.
- Misrepresentations concerning the safety of their investment in a variable annuity contract.
- Fraudulent sale of unregistered securities.
- Unsuitable recommendation of an unregistered security and liquidation of an annuity.
Kerry Hoffman Red Flags & Your Rights As An Investor
Of course, Kerry Hoffman 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 Kerry Hoffman at Union Capital Company and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Kerry Hoffman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Union Capital Company and LPL Financial LLC 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 Union Capital Company Due To Kerry Hoffman
If you have questions about Union Capital Company, LPL Financial LLC and/or Kerry Hoffman 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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