FINRA Bars Hans Eveillard for Alleged Refusal to Provide Testimony

Hans Eveillard (CRD #: 7190141), a broker formerly registered with Alight Financial Solutions, has been barred by FINRA, according to his BrokerCheck record, accessed on January 12, 2023. If you have questions about his alleged conduct as a broker, keep reading.

Bar by FINRA

On November 4, 2022, Hans Eveillard consented to the entry of findings that he allegedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into an investor complaint.

According to a Letter of Acceptance, Waiver & Consent (AWC), Hans Eveillard allegedly informed FINRA of his refusal to appear for testimony on September 30, 2022.

The AWC concluded that this alleged refusal violated FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to provide documents, information, and testimony upon request by FINRA.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

FINRA permanently barred Hans Eveillard on November 4, 2022.

You can read a copy of the AWC here.

Investor Dispute

On March 24, 2022, an investor alleged that Hans Eveillard engaged in misappropriation. The client seeks $303,000 in damages in this pending dispute.

FINRA Rule 2150

FINRA Rule 2150 prohibits the improper use of investors’ securities or funds.

Background Information

Hans Eveillard has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• Series 7TO – General Securities Representative Examination
• SIE – Securities Industry Essentials Examination

He previously worked for Alight Financial Solutions (CRD#:36509) and Northwestern Mutual Investment Services (CRD#:2881).

Kurta Law Can Help

If you worked with Hans Eveillard and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.