Daniel Hoeflinger

11/26/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL HOEFLINGER (CRD No. 7602554), Respondent. Disciplinary Proceeding No. 2023078202201 Hearing Officer–LOM DEFAULT DECISION November 26, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failure to provide information and documents requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Appearances For the Complainant: Justin W. Arnold, Esq., Thomas R. Crimer, Esq., John R. Baraniak, Jr., Esq., and Jessica Zetwick-Skryzhynskyy, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: No appearance DECISION I. Introduction FINRA’s Department of Enforcement filed and served a Complaint against Respondent Daniel Hoeflinger alleging that he had failed to provide information and documents he was obligated to provide under FINRA Rule 8210. As a result, the Complaint alleges, Respondent viol

08/08/2024: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2023 and 2024, Respondent Daniel Hoeflinger (“Hoeflinger” or “Respondent”) failed to provide information and documents that FINRA requested pursuant to FINRA Rule 8210. 2. As a result, Respondent violated FINRA Rules 8210 and 2010.

Reference 2023078202201data-portal.finra.orgdata-portal.finra.orgfinra.org