George Wayne Hoffman
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GEORGE WAYNE HOFFMAN (CRD No. 5068220), Respondent. Disciplinary Proceeding No. 2012032922101 Hearing Officer-KBW DEFAULT DECISION October 6, 2014 Respondent is barred from associating with any member firm in any capacity for (1) violating FINRA Rules 2150 and 2010 by converting customer funds, (2) violating FINRA Rule 2010 and NASD Rule 3110 by falsifying letters of authorization, (3) violating
05/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. George Wayne Hoffman (CRD No. 5068220), Respondent. DISCIPLINARY PROCEEDING No. 2012032922101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On March 24, 2011 and March 28, 2011, Respondent converted $17,000 from an elderly customer by using falsified Letters of Authorizations ("LOAs") to wire funds from the customer's securities account at Respondent's FINRA-regulated employer to a
Reference 2012032922101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5068220 |
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