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FINRA Awards for Kevin D. Hofman

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0045008/31/2017Claimant(s): Prospera Financial Services.
Claimant Lawyers(s): Niel Prosser
Respondent(s): Alan Luttman
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): David Evans Rosedahl, Kevin D. Hofman, Frederick Ramos
Hearing Site: Minneapolis, MN
13-0327811/13/2014Claimant(s): Patrick Kelly
Claimant Lawyers(s): James C. MacGillis
Respondent(s): Sagepoint Financial., American International Group., SAI Deferred Compensation Holdings.
Respondent Lawyers(s): Corporate Office, Gregory M. Curley
Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
14-0025310/09/2014Claimant(s): Philip Schouweiler
Claimant Lawyers(s): Ken D. Schueler
Respondent(s): N.I.S. Financial Services.
Respondent Lawyers(s): Larry W. Joye
Arbitrator(s): Kevin D. Hofman
Hearing Site: Minneapolis, MN

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