ROBERT HOWARD HOFFMAN

ROBERT HOWARD HOFFMAN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at CORNADO BUILDING, 141 EAST PALACE AVE, SANTA FE, NM, 87501.

ROBERT HOWARD HOFFMAN has worked at UBS FINANCIAL SERVICES INC. since December 17, 2004

Disclosure History

ROBERT HOWARD HOFFMAN has 1 Disclosure Event(s).

Date: September 05, 2007
Category: Judgment / Lien
Judgment/Lien Amount: $129,744.49
Judgment/Lien Type: Tax
Broker Comment: LIEN FILED WITH COUNTY CLERK AT SANTA FE COUNTY, SANTA FE, NM 87501, FOR TAX YEARS 2005 AND 2006 OBLIGATIONS, STEMMING FROM EARLY IRA WITHDRAWALS TO PAY CHILD SUPPORT. OFFER - IN - COMPROMISE MADE TO THE IRS IN 2007 WAS REJECTED. PARTIAL PAYMENTS MADE PERIODICALLY SINCE. ACTIVE COLLECTION DEFERRED TO DATE DUE TO CONTINUING CHILD SUPPORT OBLIGATIONS.

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.

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

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