THOMAS RALPH HOKR

THOMAS RALPH HOKR is currently employed as a Broker and/or Investment Adviser at SIGNATOR INVESTORS, INC. located at 11330 86TH AVENUE NORTH, Suite 130, MAPLE GROVE, MN, 55369.

THOMAS RALPH HOKR has worked at SIGNATOR INVESTORS, INC. since March 06, 2015

Disclosure History

THOMAS RALPH HOKR has 2 Disclosure Event(s).

Date: April 04, 2001
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED THAT INSTRUCTION DURING THE SUMMER OF 2000 TO LIQUIDATE MUTUAL FUNDS IF THEY REACHED VALUE OF $163,000.00 WAS NOT FOLLOWED, AND THAT INVESTMENTS WERE UNSUITABLE FOR INVESTMENT OBJECTIVES. REPRESENTATIVE DENIED ALLEGATIONS, NOTING THAT CUSTOMER HAD REQUESTED MORE AGGRESSIVE INVESTMENTS IN DECEMBER 1999, AND THAT SHE REQUESTED NO CHANGES IN INVESTMENTS WHEN ACCOUNT WAS VALUED AT $ 171,000.00 IN SEPTEMBER 2000. CLAIM HAS BEEN DENIED.
Damage Amount Requested: $48,000.00
Broker Comment: CLAIM HAS BEEN DENIED

Date: January 31, 1994
Category: Customer Dispute
Allegations: PLAINTIFF ALLEGES FRAUD, NEGLIGENCE,ANDMISREPRESENTATION
Settlement Amount: $11,000.00
Broker Comment: SETTLEMENT AGREEMENT WAS ENTERED INTO TO AVOIDTHE EXPENSE AND BURDEN OF LITIGATION AND NOT AS AN ADMISSION OFLIABILITY. SETTLEMENT WAS FOR $11,000.00Not Provided

More Information

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