John James Hoidas, of Skokie, Illinois, a stockbroker registered with Uhlmann Price Securities LLC (UPS), has been fined $40,000.00 and suspended for 18 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Hoidas made unsuitable recommendations and caused the securities broker dealer to maintain false records or books. Letter…
John James Hoidas of Chicago Illinois a stockbroker formerly registered with Uhlmann Price Securities Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $499,000.00 in damages based on accusations that Hoidas provided unsuitable recommendations as it pertained to private placements while he was employed by Uhlmann Price…
John James Hoidas of Chicago Illinois a stockbroker formerly registered with Uhlmann Price Securities LLC is referenced in a customer initiated investment related written complaint which was settled for $12,500.00 on October 6, 2020 founded on allegations of unsuitable closed-end fund transactions being effected in the customer’s account by Hoidas while he was registered with…
Clifford Morgan from Chicago, Illinois, a stockbroker with Uhlmann Price Securities, LLC, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he had engaged in private securities transactions without approval from his firm; made material misrepresentations to firm customers; and failed to fully and…