Lori Ann Sacco (Lori Sacco) aka Lori Hintzelman – Financial Advisor/Broker Lori Sacco Suspended by FINRA | Recover Losses

Lori Ann Sacco (Lori Sacco) aka Lori Hintzelman – Financial Advisor/Broker Lori Sacco Suspended by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses

Lori Ann Sacco aka Lori Hintzelman CRD #5527270

Lori Sacco was a previously licensed financial advisor with BMO Harris Financial Advisors, Inc. FINRA reports that Lori Sacco was suspended from the securities industry for six months in September 2020.

According to FINRA Allegations:

Sacco consented to the sanctions and to the entry of findings that she falsified member firm customer account documents, without the customers’ prior knowledge or consent, by forging and cutting and pasting the customers’ signatures or initials on the documents that she then submitted to the firm for processing as if they had been properly executed. The findings stated that these firm documents included new account applications, ACH authorization forms, transaction acknowledgement forms, an inter-brokerage account transfer form, and a letter submitted to a court stating location of domicile. As a result of this conduct, Sacco created and submitted documents that purported to have actual customer signatures and initials affixed, when in fact they did not, and therefore forged and falsified the documents. The findings also stated that by forging and falsifying signatures or initials on these forms, Sacco caused the firm to make and preserve inaccurate books and records.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Lori Sacco and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Lori Sacco’s conduct. 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.

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. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Lori Sacco and 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.

Some of the information in this blog post was obtained on 9/18/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

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