BRETT HARLAN HOBER

BRETT HARLAN HOBER is currently employed as a Broker and/or Investment Adviser at ROBERT W. BAIRD & CO. INCORPORATED located at 601 W Riverside Ste 1940, Spokane, WA, 99201.

BRETT HARLAN HOBER has worked at ROBERT W. BAIRD & CO. INCORPORATED since January 05, 2017

Disclosure History

BRETT HARLAN HOBER has 1 Disclosure Event(s).

Date: July 08, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES FA FAILED TO LIQUIDATE FUND AS INSTRUCTED. (06/11/2009)
Damage Amount Requested: $9,157.55
Broker Comment: THE CLIENT CALLED TO INFORM ME THEY WERE TRANSFERRING ACCOUNT TO EDWARD JONES AND THAT TRANSFER PAPERWORK WAS SIGNED. THEY NEVER MENTIONED FOR ME TO "LIQUIDATE" THE ACCOUNT.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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