Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Hoffman (Hoffman), previously associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoffman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $784,447.27 on May 14, 2025.
Client claims that Financial Advisor failed to execute trades to implement her financial plan resulting in lack of growth in her accounts. Allegation Time Period: June 2022 to November 2023.