Securities Arbitration Investment Fraud Lawyers » Investment and Regulatory News » FINRA Bars Northwestern Mutual Stockbroker In Selling Away Investigation

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Hans Patrick Kulicke Eveillard of Sarasota, Florida, a stockbroker registered with Alight Financial Solutions LLC and Northwestern Mutual Investment Services, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Eveillard failed to testify during the time that FINRA investigated the stockbroker for possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No. 2021073508501 (November 4, 2022).

According to the AWC, on August 26, 2022, FINRA sent Eveillard a request to appear for testimony concerning a customer complaint that the regulator received. On September 30, 2022, Eveillard indicated in his email to FINRA that he had received the request but would not appear testimony at any time. Eveillard violated FINRA Rules 2010 and 8210 as a result.

FINRA Public Disclosure shows that Eveillard is also referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $303,000.00 in damages based upon allegations that Eveillard made misrepresentations and omissions of material fact and misappropriated funds when Eveillard was associated with Northwestern Mutual Investment Services LLC. FINRA Arbitration No. 22-00576 (March 17, 2022).

From December 2019 through July 2021, Eveillard was registered, or was otherwise associated with Northwestern Mutual Investment Services, LLC and the Northwestern Mutual Life Insurance Company, conducting business from a Northwestern branch office located at1751 Mound Street, Suite 107, Sarasota, Florida 34236. Eveillard was permitted to voluntarily resign from Northwestern in July 2021, and at or about the time of his resignation or termination, Eveillard had obtained an interest in an unapproved outside business entity, Clear Voice Enterprise, Inc., and had engaged in the sale of unregistered promissory notes to his customers.

Eveillard was associated with Alight Financial Solutions LLC in Lincolnshire, IL, as a stockbroker from March of 2022 to November of 2022, and was associated with Northwestern Mutual Investment Services LLC in Sarasota, FL, as a stockbroker from September of 2020 to July of 2021.