John William Hoekman (John Hoekman), Financial Advisor Barred by FINRA | Goodman and Nekvasil May Recover Investor Losses

John William Hoekman (John Hoekman), Financial Advisor Barred by FINRA | Goodman and Nekvasil May Recover Investor Losses

FINRA reports that John Hoekman, was barred from association with any FINRA member in any capacity permanently on July 13, 2016.  John Hoekman entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to resolve allegations FINRA made against him regarding violations of securities industry rules.

FINRA reports John Hoekman, consented to the sanction and entry of findings that John Hoekman failed to provide documents and information requested by FINRA during the course of its examination into allegations that without the knowledge or consent of his member firm Hoekman engaged in certain outside business activities and participated in private securities transactions.

Wells Fargo Advisors reported a FINRA arbitration claim that alleged unsuitable investment recommendations were made in accounts opened in or around 2014. The complaint alleges John Hoekman induced her to loan money to a third party for an offering on the Singapore Exchange without disclosing material facts between January 2014 through October 2015. This complaint was settled for $390,000.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 million dollars on behalf of victimized investors.  We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.  All our cases are handled on a purely contingency fee basis.

There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment with John William Hoekman, you may be able to recover your losses from Wells Fargo Advisors, LLC. This is because Wells Fargo Advisors, LLC had a duty to supervise John William Hoekman. If you would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

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