{"id":9322,"date":"2020-09-09T09:06:20","date_gmt":"2020-09-09T13:06:20","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9322"},"modified":"2022-03-23T16:48:29","modified_gmt":"2022-03-23T20:48:29","slug":"arthur-hoffman-barred-from-securities-industry-following-finra-investigation","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/arthur-hoffman-barred-from-securities-industry-following-finra-investigation\/","title":{"rendered":"Arthur Hoffman Barred From Securities Industry Following FINRA Investigation"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-9026 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/05\/Away.jpg\" alt=\"Arthur Stewart Hoffman (a\/k\/a Art S. Hoffman) (CRD# 3193754) has been barred from the securities industry following his failure to provide documents and information in a Financial Industry Regulatory Authority (FINRA) investigation into his suspension from employment for violation of company policies. Hoffman began his securities career in 1999 and has been based in Glendale, Arizona for the past decade. Most recently, Hoffman was registered with Ameriprise Financial Services, LLC from 2016-2020 and prior to that, Hoffman worked for Wedbush Securities Inc. According to Hoffman\u2019s CRD Report, published by FINRA, he was discharged from Ameriprise Financial Services LLC for \u201ccompany policy violations related to outside business activities and private securities transactions.\u201d\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/05\/Away.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/05\/Away-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/><\/p>\n<p>Arthur Hoffman (a\/k\/a Arthur Stewart Hoffman, \u201cArt S. Hoffman\u201d, <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/3193754\" target=\"_blank\">CRD# 3193754<\/a>) has been barred from the securities industry following his failure to provide documents and information in a Financial Industry Regulatory Authority (FINRA) investigation into his suspension from employment for violation of company policies. Hoffman allegedly sold to his clients investments in a cryptocurrency fund or similar investment without disclosing material facts. Silver Law Group has seen a rise in claims against financial advisors for improperly investing client\u2019s money in various cryptocurrency or bitcoin related funds. <a href=\"https:\/\/www.silverlaw.com\/blog\/arthur-hoffman-barred-from-securities-industry-following-finra-investigation\/#more-9322\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Arthur Hoffman (a\/k\/a Arthur Stewart Hoffman, \u201cArt S. Hoffman\u201d, CRD# 3193754) has been barred from the securities industry following his failure to provide documents and information in a Financial Industry Regulatory Authority (FINRA) investigation into his suspension from employment for violation of company policies. Hoffman allegedly sold to his clients investments in a cryptocurrency fund [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[584,580],"tags":[],"class_list":["post-9322","post","type-post","status-publish","format-standard","hentry","category-selling-away","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Arthur Hoffman Barred From Securities Industry After FINRA Investigation<\/title>\n<meta name=\"description\" content=\"Arthur Hoffman has been barred from the securities industry following his failure to provide documents and information in a FINRA investigation.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/arthur-hoffman-barred-from-securities-industry-following-finra-investigation\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/arthur-hoffman-barred-from-securities-industry-following-finra-investigation\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Arthur Hoffman Barred From Securities Industry Following FINRA 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