RedFlag, Allegation and/or Complaint against CHAD ALAN HOLLAN
Disclosure #1 for CHAD HOLLAN
- Event Date: 9/6/2016
- Disclosure Type: Regulatory
- Resolution: Final |FDA Docket:2015043417505
- AAO Docket: 2015043417505
- Initiated By: FINRA
- Allegations: Without admitting or denying the findings, Hollan consented to the sanctions and to the entry of findings that he mismarked order tickets in customers’ accounts as unsolicited orders, when in fact, the trades were solicited, causing his member firm to maintain inaccurate books and records.
- Resolution: Acceptance, Waiver & Consent(AWC) |Sanctions: Civil and Administrative Penalty(ies)/Fine(s) |Amount: $5,000.00 Sanctions: Suspension |Registration Capacities Affected: Any capacity
- Duration: two months
- Start Date: 10/3/2016
- End Date: 12/2/2016
Should I file a FINRA complaint against brokers like CHAD ALAN HOLLAN?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 8:42 pm