Arthur Hoffman, Formerly of Ameriprise Financial, Barred by FINRA For Failing to Cooperate with Investigation

FINRA was investigating Hoffman based on allegations of participating in outside business activities and private securities transactions.

The Sonn Law Group is investigating allegations that Arthur Hoffman committed misconduct. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.

arthur-hoffman-failing-to-cooperateArthur Hoffman (CRD#: 3193754) was employed by Ameriprise Financial Services from 2016 until 2020. On April 13, 2020, Ameriprise filed a disclosure which stated that Hoffman had been suspended for violations of company policy related to outside business activities and private securities transactions. Based on the disclosure, FINRA opened an investigation into Hoffman.

FINRA sent Hoffman a request for the production of information and documents pursuant to FINRA Rule 8210. Hoffman acknowledged the request and stated that he would not produce the requested information.

Because of his refusal to respond to the request, Hoffman is barred indefinitely from associating with a FINRA member firm in any capacity. Hoffman has one other disclosure on his BrokerCheck report.


February 2016 Customer Dispute


Contact Us Today

The Sonn Law Group is currently investigating allegations that Arthur Hoffman committed misconduct. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.