JAMES ALAN HODGE

JAMES ALAN HODGE is currently employed as a Broker and/or Investment Adviser at ROBERT W. BAIRD & CO. INCORPORATED located at ONE S PINCKNEY ST, SUITE 600, MADISON, WI, 53703.

JAMES ALAN HODGE has worked at ROBERT W. BAIRD & CO. INCORPORATED since September 16, 1996

Disclosure History

JAMES ALAN HODGE has 1 Disclosure Event(s).

Date: December 18, 2000
Category: Customer Dispute
Allegations: ALLEGED POOR PERFORMANCE AND MISREPRESENTATION WITH RESPECT TO CERTAIN STOCKS RECOMMENDED.
Damage Amount Requested: $114,872.00

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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