ROBERT A HOFFMANN

Financial crime

United States. Named in 2 sanctions listings.

Sanctions and listings2

Effective
21 Aug 2000
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
apps.occ.gov
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, COMPLAINANT V. Robert A Hoffman CRD No. 5291155 DISCIPLINARY PROCEEDING No. 20080147395 COMPLAINT The Department of Enforcement alleges: RESPONDENT & JURISDICTION 1. In January 2007, Respondent Robert A. Hoffmann ("Respondent") became registered with Chase Investment Services Corporation ("Chase" or the "Firm'*) as a result of his employment as a personal banker with the Firm's affiliate JP Morgan Chase, Inc.
11/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT A. HOFFMANN (CRD No. 5291155) Respondent. Disciplinary Proceeding No. 20080147395 DEFAULT DECISION Hearing Officer-SNB November 15, 2010 Respondent converted customer funds, in violation of NASD Rule 2110, signed customer names on signature cards, in violation of NASD Rule 2110, and failed to respond to requests for
Reference 2008014739501data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5291155

Other names2

Also known as2

ROBERT A. HOFFMANNHoffmann, Robert A.

Addresses1

Waterloo, IL

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