Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Hoeflinger (Hoeflinger), previously associated with Goldman Sachs & Co. LLC, has at least one disclosable event. These events include one regulatory event, alleging that Hoeflinger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on August 08, 2024.
Daniel Hoeflinger was named a respondent in a FINRA complaint alleging that he failed to provide information and documents requested by FINRA in connection with its investigation of allegations made by his member firm on Hoeflinger’s Form U5. The complaint alleges that Hoeflinger’s firm discharged him for integrity concerns that he had provided false information, including documentation, in connection with a paid leave of absence.
