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New Hampshire Insurance Department Investigates Quinn Hogan

Quinn Hogan (CRD #: 1100687), a broker registered with Northwestern Mutual Investment Services, is under investigation by the State of New Hampshire, according to his BrokerCheck record, accessed on December 7, 2022. Read on to learn more about his alleged conduct as a broker.

Pending Investigation

On September 16, 2022, the New Hampshire Insurance Department announced an investigation into Quinn Hogan’s alleged use of an unapproved form to receive client data in order to apply for non-variable life insurance policies.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. The use of an unapproved form to receive client data would violate FINRA Rule 2010. 

Background Information

Quinn Hogan has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 22 – Direct Participation Programs Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Quinn Hogan is a registered broker in 22 states and the District of Columbia. He is also a registered investment adviser in New Hampshire.

He has also worked for Northwestern Mutual Wealth Management Company (CRD#:109729) and Robert W. Baird & Company (CRD#:8158).

Kurta Law Can Help

If you worked with Quinn Hogan 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. 

 

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