On October 13, 2017, Robert Hoffmann of Indianapolis, Indiana was permanently barred from the securities brokerage industry after he failed to cooperate with an SRO investigation into allegations that he recommended unsuitable investments and engaged in unauthorized and excessive trading. The allegations relate to the period of time when Hoffmann…

Stock broker and investment advisor Harry Timothy Couch (Tim Couch) of Dempsey Lord Smith, LLC in Dawsonville, Georgia, and formerly of WFG Investments, also in Dawsonville, Georgia, has been accused of making unsuitable investment recommendations and material misrepresentations to a customer who is seeking $1.5 million in damages. The customer’s…

Stock broker David Boor of UBS Financial Services in Farmington Hills Michigan is involved in a customer dispute with customers who allege that Boor recommended investments that were not suitable in light of the account holder’s risk tolerance, limited investment experience, and lack of investment sophistication. The customers also allege that Boor…

Financial advisor Fred Atiyeh (CRD#: 872352) of Crown Capital Securities, L.P. (CRD#: 6312) in Whitmore Lake, Michigan recently settled a customer dispute relating to his recommendation that the customer invest in one or more United Development Funding (“UDF”) REITs. UDF III and UDF IV are at the center of Ponzi…