Frederick E. Hohensee
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/07/2026: Between April 2022 and July 2023, Hohensee recommended that two customers invest in eighteen structured notes without having a reasonable basis to believe the recommendations were in the customers’ best interests based on their investment profiles. As a result, Hohensee willfully violated the Care Obligation of Regulation Best Interest and violated FINRA Rule 2010. For this misconduct, Hohensee is suspended for six weeks in all capacities, fined $10,000, and ordered to pay restitution of commissions to the two customers in the amount of $7,530 plus interest...
Reference 2023079674901data-portal.finra.orgfinra.org
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