Tag Archives: Kerry Lee Hoffman

LPL Stockbroker Caught Selling Unregistered Securities

July 11, 2020  |   Posted by :   |   Securities Arbitration Claims, Securities Fraud, Unregistered Securities   |   Comments Off on LPL Stockbroker Caught Selling Unregistered Securities

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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SEC Charges LPL Stockbroker With Securities Fraud

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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