Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that South Carolina-based Securities Service Network broker/adviser Hoke Shuler has received numerous settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shuler (CRD# 2614487).
Hoke Shuler has spent 15 years in the securities industry and has been registered with Securities Service Network in Charleston, South Carolina since 2009. Previous registrations include Sagepoint Financial in Charleston, South Carolina (2005-2009); SunAmerica Securities in Phoenix, Arizona (2004-2005); Wells Fargo Investments in San Francisco, California (2002); GMAC Investment Services in Bloomington, Minnesota (1999-2000); American Express Financial Advisors in Minneapolis, Minnesota (1995-1998); and IDS Life Insurance Company in Minneapolis, Minnesota (1995-1998). He is a registered broker and investment adviser in 10 US states: Alabama, Florida, Georgia, Illinois, New Jersey, New York, North Carolina, Ohio, Pennsylvania, and South Carolina.
According to his BrokerCheck report, Hoke Shuler has received three customer complaints and two pending customer complaints.
In May 2016, a customer alleged Hoke Shuler, while employed at Sagepoint Financial, “failed to recommend suitable investments for two investors.” The customer is seeking $192,770 in damages in the pending complaint.
In 2015, a customer alleged Hoke Shuler, while employed at Sagepoint Financial, recommended unsuitable investments to two retired investors. The customer is seeking at least $100,000 in damages in the pending complaint.
In 2014, a customer alleged Hoke Shuler, while employed at Sagepoint Financial, misrepresented material facts related to an investment and recommended an unsuitable investment. The complaint settled in 2015 for $130,000.
In 2013, a customer alleged Hoke Shuler, while employed at Sagepoint Financial, acted negligently, committed fraud, breached his fiduciary duty, and failed to supervise. The complaint settled in 2014 for $160,000.
In 2011, a customer alleged Hoke Shuler, while employed at Sagepoint Financial, recommended unsuitable mutual fund investments and failed to fully disclose strategies. The complaint settled 2013 for $1,450,000.
If you have lost money investing with Hoke Shuler, you may be entitled to recover lost funds. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: Fitapelli Kurta only gets paid if and when you recover money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.