Broker John Hoekman Involved In Wells Fargo, Stephens Investor Disputes Alleging Unsuitable Advice Soreide Law Group provides you with this update in regard to the investor disputes on the public record of securities broker John William Hoekman (CRD#: 2455445, New York, New York). In particular, 8 investors disputed the sales practices of Hoekman. Investors make […]

Recently, the Securities and Exchange Commission (SEC) announced enforcement actions taken against the following 36 municipal underwriting firms for violations in municipal bond offerings. The cases are the first brought against underwriters under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative, a voluntary self-reporting program targeting material misstatements and omissions in municipal bond offering documents. In […]