{"id":2951,"date":"2015-09-01T00:00:00","date_gmt":"2015-09-01T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/thomas-hogle-barred-by-finra-after-alleged-lack-of-cooperation-with-investigation\/"},"modified":"2015-09-01T00:00:00","modified_gmt":"2015-09-01T04:00:00","slug":"thomas-hogle-barred-by-finra-after-alleged-lack-of-cooperation-with-investigation","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/thomas-hogle-barred-by-finra-after-alleged-lack-of-cooperation-with-investigation\/","title":{"rendered":"Thomas Hogle Barred by FINRA After Alleged Lack of Cooperation With Investigation"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Thomas-Hogle-Barred-by-FINRA-After-Alleged-Lack-of-Cooperation-With-Investigation.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-full wp-image-1773\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Thomas-Hogle-Barred-by-FINRA-After-Alleged-Lack-of-Cooperation-With-Investigation.jpg\" alt=\"Thomas Hogle Barred by FINRA After Alleged Lack of Cooperation With Investigation by silverlaw.com\" width=\"950\" height=\"633\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Thomas-Hogle-Barred-by-FINRA-After-Alleged-Lack-of-Cooperation-With-Investigation.jpg 950w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Thomas-Hogle-Barred-by-FINRA-After-Alleged-Lack-of-Cooperation-With-Investigation-300x200.jpg 300w\" sizes=\"auto, (max-width: 950px) 100vw, 950px\" \/><\/a><\/h2>\n<h2>Allegations concern unsuitable, excessive and unauthorized trades for a 101-year-old customer<\/h2>\n<\/p>\n<p>After 16 years in the securities industry, FINRA barred Thomas Morley Hogle from acting as a broker or associating with FINRA members in a professional capacity on May 11, according to the <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/3047483\"  target=\"_blank\">FINRA website<\/a>.<\/p>\n<p>The action comes in the wake of a FINRA investigation into whether Hogle made unsuitable investment recommendations to a 101-year-old customer. <a href=\"http:\/\/disciplinaryactions.finra.org\/Search\/ViewDocument\/52060\"  target=\"_blank\">According to FINRA documents<\/a>, FINRA requested documents and information from Hogle in two separate letters. When he did not respond to those requests FINRA staff spoke to him on the phone, at which time Hogle allegedly acknowledged the requests but stated that he would not produce the information requested at any point.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/thomas-hogle-barred-by-finra-after-alleged-lack-of-cooperation-with-investigation\/\"  title=\"Continue Reading Thomas Hogle Barred by FINRA After Alleged Lack of Cooperation With Investigation\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Allegations concern unsuitable, excessive and unauthorized trades for a 101-year-old customer After 16 years in the securities industry, FINRA barred Thomas Morley Hogle from acting as a broker or associating with FINRA members in a professional capacity on May 11, according to the FINRA website. The action comes in the wake of a FINRA investigation [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,602],"tags":[260],"class_list":["post-2951","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-class-action","tag-barred-by-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Thomas Hogle Barred by FINRA After Alleged Lack of Cooperation With Investigation &#8212; Securities Arbitration Lawyers Blog &#8212; September 1, 2015<\/title>\n<meta name=\"description\" content=\"Check out the full article on Thomas Hogle Barred by FINRA After Alleged Lack of Cooperation With Investigation on silverlaw.com\" \/>\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\/thomas-hogle-barred-by-finra-after-alleged-lack-of-cooperation-with-investigation\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Thomas Hogle Barred by FINRA After Alleged Lack of Cooperation With Investigation &#8212; 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