Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Hoffmann (Hoffmann), previously associated with Thurston, Springer, Miller, Herd & Titak, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoffmann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on November 13, 2020.
Claimant alleges she purchased annuities that were unsuitable