{"id":2572,"date":"2017-02-27T00:00:00","date_gmt":"2017-02-27T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/summit-brokerage-services-clay-hoffman\/"},"modified":"2018-10-08T12:37:58","modified_gmt":"2018-10-08T16:37:58","slug":"summit-brokerage-services-clay-hoffman","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/","title":{"rendered":"Former Cetera-related Broker Clay E. Hoffman Has 19 BrokerCheck Disclosures; FINRA Actions"},"content":{"rendered":"<\/p>\n

Silver Law Group is investigating former Georgia-based Summit Brokerage Services, Inc. (CRD# 34643)<\/a> broker Clay E. Hoffman (CRD# 4371162)<\/a> due to multiple FINRA actions pending against him and his racking up of 16 BrokerCheck disclosures in the past five years.<\/p>\n

FINRA has initiated four regulatory actions against Hoffman in 2016, according to Hoffman\u2019s FINRA BrokerCheck report.\u00a0 Our attorneys have been monitoring FINRA\u2019s actions against Hoffman<\/a>.<\/p>\n

The first, initiated in February, alleged Hoffman exercised discretion in a customer\u2019s account and made unauthorized transactions without written authorization from the customer or the approval of Hoffman\u2019s firm.\u00a0 Hoffman was fined $5,000 and suspended for 15 days.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Silver Law Group is investigating former Georgia-based Summit Brokerage Services, Inc. (CRD# 34643) broker Clay E. Hoffman (CRD# 4371162) due to multiple FINRA actions pending against him and his racking up of 16 BrokerCheck disclosures in the past five years. FINRA has initiated four regulatory actions against Hoffman in 2016, according to Hoffman\u2019s FINRA BrokerCheck […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[586,580],"tags":[106,218,219,59],"class_list":["post-2572","post","type-post","status-publish","format-standard","hentry","category-cetera-financial-group","category-stockbroker-misconduct","tag-cetera-financial-group","tag-clay-e-hoffman","tag-summit-brokerage-services","tag-suntrust-investment-services"],"yoast_head":"\nFormer Cetera-related Broker Clay E. Hoffman Has 19 BrokerCheck Disclosures; FINRA Actions — Securities Arbitration Lawyers Blog — February 27, 2017<\/title>\n<meta name=\"description\" content=\"If you've lost money investing with Clay E. Hoffman and Summit Brokerage Services, contact our firm to learn how you can try to recover your losses.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Former Cetera-related Broker Clay E. Hoffman Has 19 BrokerCheck Disclosures; FINRA Actions — Securities Arbitration Lawyers Blog — February 27, 2017\" \/>\n<meta name=\"twitter:description\" content=\"If you've lost money investing with Clay E. Hoffman and Summit Brokerage Services, contact our firm to learn how you can try to recover your losses.\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Former Cetera-related Broker Clay E. Hoffman Has 19 BrokerCheck Disclosures; FINRA Actions — Securities Arbitration Lawyers Blog — February 27, 2017","description":"If you've lost money investing with Clay E. Hoffman and Summit Brokerage Services, contact our firm to learn how you can try to recover your losses.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/","twitter_card":"summary_large_image","twitter_title":"Former Cetera-related Broker Clay E. Hoffman Has 19 BrokerCheck Disclosures; FINRA Actions — Securities Arbitration Lawyers Blog — February 27, 2017","twitter_description":"If you've lost money investing with Clay E. Hoffman and Summit Brokerage Services, contact our firm to learn how you can try to recover your losses.","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Former Cetera-related Broker Clay E. Hoffman Has 19 BrokerCheck Disclosures; FINRA Actions","datePublished":"2017-02-27T05:00:00+00:00","dateModified":"2018-10-08T16:37:58+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/"},"wordCount":516,"keywords":["Cetera Financial Group","Clay E. Hoffman","Summit Brokerage Services","SunTrust Investment Services"],"articleSection":["Cetera Financial Group","Stockbroker Misconduct"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/","url":"https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/","name":"Former Cetera-related Broker Clay E. Hoffman Has 19 BrokerCheck Disclosures; FINRA Actions — Securities Arbitration Lawyers Blog — February 27, 2017","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2017-02-27T05:00:00+00:00","dateModified":"2018-10-08T16:37:58+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"If you've lost money investing with Clay E. Hoffman and Summit Brokerage Services, contact our firm to learn how you can try to recover your losses.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/summit-brokerage-services-clay-hoffman\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Former Cetera-related Broker Clay E. Hoffman Has 19 BrokerCheck Disclosures; FINRA Actions"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2572","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=2572"}],"version-history":[{"count":6,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2572\/revisions"}],"predecessor-version":[{"id":6879,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2572\/revisions\/6879"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=2572"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=2572"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=2572"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}