Tag Archives: Uhlmann Price Securities LLC

Uhlmann Price Stockbroker Accused Of Unsuitable Trading

February 01, 2021  |   Posted by :   |   Closed End Funds, Investment and Regulatory News, Private Placement Fraud, Promissory Notes   |   Comments Off on Uhlmann Price Stockbroker Accused Of Unsuitable Trading

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 […]

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Uhlmann Price Securities Stockbroker Barred for Obstructing Investigation

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 […]

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