Richard Phillip Hohol (Richard Hohol) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating claims filed against stockbroker Richard Hohol.
In January 2018 Richard Hohol was fined $5,000 and suspended for 2 months from practicing as a broker. Richard Hohol worked for Cetera Advisor Networks in Roselle, Illinois from January 1999 to January 2016.
Richard Hohol was previously associated with Terra Securities Corporation.
FINRA alleges that Richard Hohol engaged in the following misconduct: allowed a former registered representative, Choosri Lao, to perform services for which she should have been registered, including selling alternative investments to Cetera customers.
Hohol was fired by Cetera in January 2016. Choosri Lao was also fired from Cetera in December 2015 and also consented to a FINRA fine and suspension in March 2018.
If you invested money through Richard Phillip Hohol, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.
Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.
Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.