Soreide Law Group is investigating possible investor claims against securities broker Hans Patrick Kulicke Eveillard (CRD: 7190141, Sarasota, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Northwestern Mutual Investment Services LLC. Evidently, investors allege sales practice violations in these disputes, including that Eveillard made misrepresentations, made omissions, and failed to perform due diligence. Here is a brief summary of the disclosures about Eveillard.
Specifically, a Northwestern Mutual Investment Services LLC client filed FINRA Arbitration: 22-00576 about Hans Eveillard. Namely, the client alleged that Eveillard made misrepresentations, made omissions, and failed to perform due diligence. Because of this, the client allegedly sustained damages on promissory notes. Therefore, on March 30, 2023, Northwestern Mutual Investment Services LLC settled this matter by paying the client $85,000 in damages.
Supposedly, on January 17, 2023, Maryland Division of Securities issued Case No. 20220433 sanctioning Hans Eveillard for infractions. Specifically, Eveillard was barred as a securities broker by Maryland Division of Securities. Notably, Maryland Division of Securities alleged that Eveillard was the subject of a regulatory enforcement action resulting in sanctions. Eveillard was barred by FINRA on November 22, 2022.
Evidently, Illinois Securities Division filed Complaint No. 2200736 on December 30, 2022, with the intent to impose sanctions against Hans Eveillard for infractions. Allegedly, this has to do with Eveillard's bar from FINRA.
Supposedly, on November 4, 2022, FINRA issued Acceptance, Waiver, and Consent No. 2021073508501 sanctioning Hans Eveillard for infractions. Specifically, Eveillard was barred as a securities broker. Notably, FINRA alleged that Eveillard failed to testify when FINRA investigated the securities broker for potential FINRA rule violations relating to a client complaint.
Did you sustain damages because of Hans Eveillard? If you have, get in touch with Soreide Law Group at (888) 760-6552 and talk with a securities attorney about a possible recovery of your losses. Soreide Law Group has successfully recovered money for investors throughout the United States. Also, the firm represents investors on a contingency fee basis and advances costs. Eveillard and brokerage firms Eveillard worked for deny accusations against them.
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