BRIAN STEVEN HOFFMAN

BRIAN STEVEN HOFFMAN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1400 RT. 206, SUITE 100, BEDMINSTER, NJ, 07921.

BRIAN STEVEN HOFFMAN has worked at LPL FINANCIAL LLC since October 27, 2016

Disclosure History

BRIAN STEVEN HOFFMAN has 1 Disclosure Event(s).

Date: November 26, 2012
Category: Customer Dispute
Allegations: CLIENT IS COMPLAINING ABOUT NOT BEING ABLE TO GET IN TOUCH WITH THE COMPANY AND/OR HER FINANCIAL CONSULTANT (FC) IN ORDER TO REQUEST A WITHDRAWAL FROM HER ACCOUNT. SHE'S UPSET THAT NUMBER PROVIDED ON HER STATEMENT WAS A VOICEMAIL ACCOUNT AND THAT NO ONE EVER RETURNED HER CALLED. SHE'S ALSO UPSET THAT THE FC SENT HER TEXT MESSAGES INSTEAD OF COMMUNICATION WITH HER DIRECTLY. AS A RESULT OF THIS THE WITHDRAWAL REQUEST THAT THE FC SUBMITTED ON HER BEHALF WAS INCORRECT AND RESULTED IN HER ACCOUNT BEING CLOSED.
Broker Comment: SENT AN APOLOGY LETTER THE CLIENT AND THE FINANCIAL CONSULTANT WAS ISSUED A LETTER OF CAUTION ON 12/28/2012.

More Information

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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.

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