Kerry Lee Hoffman of Chicago Illinois a stockbroker formerly associated with LPL Financial LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested $100,000.00 in damages supported by allegations that the customer had been advised by Hoffman to invest in unregistered securities during the period in which the […]
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Tag Archives: Kerry Lee Hoffman
LPL Stockbroker Caught Selling Unregistered Securities
July 11, 2020 | Posted by : Guiliano Law Group | Securities Arbitration Claims, Securities Fraud, Unregistered Securities | Comments Off on LPL Stockbroker Caught Selling Unregistered Securities
SEC Charges LPL Stockbroker With Securities Fraud
December 18, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Securities Fraud, Selling Away and Outside Activities, Unregistered Securities | 0 Comments
Kerry Lee Hoffman of Mundelein Illinois a stockbroker formerly registered with LPL Financial LLC has been charged by Securities and Exchange Commission (SEC) in a Complaint which alleged that Hoffman engaged in securities fraud through his offer and sale of unregistered GT Media Inc. securities. United States Securities and Exchange Commission v. Kerry L. Hoffman […]
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