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.
Update – 2022.11.15If you have suffered investment losses that may have been caused by CHAD ALAN HOLLAN’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.
Frequently Asked Questions About CHAD ALAN HOLLAN
What is CHAD HOLLAN’s Central Registration Depository (CRD) Number?
Which firm is CHAD ALAN HOLLAN associated with?
SHEARSON FINANCIAL SERVICES, LLC
Where is CHAD HOLLAN located?
1800 South Mason, Katy, TX, 77450
Where can I find more details about CHAD HOLLAN’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/38619 to read a detailed report for SHEARSON FINANCIAL SERVICES, LLC
Are there any disclosures, allegations or complaints filed against CHAD ALAN HOLLAN?
Where can I download a detailed FINRA report for CHAD HOLLAN?
Is it safe to do business with CHAD ALAN HOLLAN?
We’re not sure. Please research CHAD HOLLAN’s disclosures, allegations and complaints before taking a decision
Originally reported on November 17, 2022 @ 8:42 pm
The views and opinions expressed in these articles are those of the source BROKERAUDIT.COM and do not necessarily reflect the official position of ‘OutintheWind.com,’ which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.
This article is syndicated automatically through a third-party agency from BROKERAUDIT.COM.
To view the original article at BROKERAUDIT.COM, you can visit https://www.brokeraudit.com/chad-alan-hollan-shearson-financial-services-llc/.