John C. Hanson entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to respond to FINRA requests for information, documents and testimony in connection with an investigation involving allegations that Hanson misappropriated $300,000 of customers’ funds .
In September 2014 FINRA initiated an investigation into allegations that Hanson had wrongfully taken customer funds. In October 2014, through his counsel, Hanson stated that he would not produce any documents or information or appear for testimony.
Hanson was barred from the industry.
According to FINRA records, Hanson was registered with Northwestern Mutual Investment Services from 9/2004-9/2014.
If you suffered losses in an account handled by John C. Hanson you may be able to recover damages from his employer. Contact us for more information.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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