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John James Hoidas

Date:

July 25, 2023

Type of alert:

FINRA AWC  

John James Hoidas entered into a FINRA Acceptance, Waiver, and Consent. Hoidas allegedly made unsuitable recommendations at Uhlmann Price Securities, caused two member firms to maintain incomplete books and records, and communicated through text messages using his personal phone regarding securities-related business. Additionally, while registered through ATIS, Hoidas allegedly entered into a commission-sharing agreement with another ATIS registered representative, which was not disclosed to, or approved by, ATIS. Hoidas consented, without admitting or denying the claims, to an 18-month suspension and a $40,000 fine.

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