James Hoffman: Investors Allege $350,000 Loss Following Unsuitable Investments
James Hoffman (CRD #: 2670530), a broker registered with National Securities Corporation, is facing an investor dispute, according to his BrokerCheck record, accessed on August 16, 2021. Details are provided below.
On June 14, 2021, an investor alleged that James Hoffman recommended an unsuitable security. “Unsuitable” securities do not meet FINRA’s requirements – FINRA requires that brokers only recommend investments that suit the investor’s financial goals and risk tolerance. Investments should also fit the investor’s age and investment time horizon. The investor is seeking $350,000; the dispute is pending.
James Hoffman Background Information
James Hoffman has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 24 General Securities Principal Examination
He is a registered broker in 27 states and is a registered investment adviser in New Jersey.
James Hoffman has worked for the following firms:
- National Securities Corporation (CRD #: 7569)
- National Asset Management (CRD #: 115927)
- P Turner & Company (CRD #: 43177)
- S. Goldmen & Co. (CRD #: 23180)
Kurta Law Can Help
If you worked with James Hoffman and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email email@example.com.