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23-03614(2).pdf
motion to confirm
2021069370602 Lester Joel Hochler CRD 3209012 AWC ks.pdf
From February 2021 to March 2023, Hochler failed to reasonably supervise two registered representatives’ recommendations to retail customers. First, from February 2021 to April 2021, Hochler failed to reasonably supervise a registered representative’s (Representative 1) recommendations to purchase GWG L Bonds, a speculative, unrated debt security. Second, from July 2021 to March 2023, Hochler failed to reasonably supervise a registered representative’s (Representative 2) recommendations to purchase non-traditional exchange-traded products (NT-ETPs).
FINRA Advances Rule Modernization Initiative
March 4, 2026
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Intellivest Securities, Inc. Comment On Regulatory Notice 26-02
Why reinvent the wheel? Please take another look at the language in the Electronic Fund Transfer Act 15 U.S.C. 1693, especially the section on error resolution.
Commentator Bill Singer's drafting suggestions should be adopted.
Condolences to Commentator Tobin. Similarly, one of my client's bank account was taken over and the funds eventually replaced. I learned of law enforcement's extreme frustration that the banks' rarely prosecute, even when they have in-house video of the crooks, who increasingly are emboldened by this tolerance of crime.