George Wayne Hoffman from Parkville, Maryland, a former registered representative with H. Beck, Inc., was barred from association with any FINRA member in any capacity. That sanction was based upon, among other findings, that Hoffman converted $17,000 from an elderly client for his own benefit and improperly accepted a $36,000 dollar personal loan from that same client, which he never repaid. (FINRA Case #2012032922101)
Constance Marie Larsen of Centreville, Virginia, a former registered representative with Pruco Securities, LLC was suspended from association with any capacity for two years for, among other misdeeds, accepting a loan from an elderly client. (FINRA Case #2013038483201)
To see a summary of all Disciplinary and Other FINRA Actions reported for January 2015, please click here.
If you believe that you may have been victimized by George Wayne Hoffman, Constance Marie Larsen, H. Beck, Inc. Pruco Securities, LLC or any other firms or brokers disciplined by FINRA as reported in January 2015, please contact the Maryland investment fraud recovery law firm of West & West, LLC.