Did you incur investment losses with Joseph Hooper?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Joseph Hooper formerly of Source Capital Group Inc. related to his alleged private securities transactions without notifying the firm.
Hooper has been suspended by FINRA.
Fortunately, for those investors that incurred losses investing with Hooper may be able to recover those losses through the FINRA arbitration process.
Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of their Broker(s).