Last Updated: February 2025, Dallas, TX
Here’s what you need to know about Dallas, TX, stockbroker Lora J. Hoff:
- Name: Ms. Lora Jane Hoff
- CRD Number: 3175071
- Current Employers:
- Concurrent Investment Advisors, LLC (Registered since August 7, 2024)
- Purshe Kaplan Sterling Investments (Registered since August 8, 2024)
- Prior Employers:
- Investment Planners, Inc. (June 2006 – August 2024)
- IPI Wealth Management, Inc. (June 2006 – August 2024)
- MML Investors Services, Inc. (August 2004 – July 2006)
- DBA: Wealth Partners Alliance
- Function: Stockbroker / Financial Advisor
- Primary Location: Dallas, TX
- Professional Designation: Certified Financial Planner (CFP)
- Can Lora Hoff be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: No
- Customer Dispute: Yes
If you’ve sustained damages from Ms. Hoff, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Lora Hoff As Your Stockbroker?
A customer dispute involving Lora Hoff was filed on January 7, 2025, while she was employed at Investment Planners, Inc. The allegations centered on an investment in oil and gas that did not meet the claimant’s financial goals. The alleged damages were $150,000.00. At this point the firm is taking the position that the allegations has no merit, and the customer has not pursued the matter further at this point in time.
See below for our advice should you experience a similar situation, ie; complain to the firm that you believe your account has been mishandled and receive a similar response.
Allegations of Broker Misconduct Against Lora Hoff
A customer of Lora Hoff has alleged the following misconduct in connection with the handling of their accounts:
- Unsuitable Investment Recommendations: Allegations in the 2025 dispute claim that the oil and gas investment was not appropriate for the claimant’s financial goals, which could be a violation of FINRA Rule 2111, requiring brokers to have a reasonable basis for believing that a transaction is suitable for the client.
- Failure to Meet Financial Objectives: Although the dispute was denied, it reflects concerns about client suitability and risk management practices, which are central to brokerage conduct under FINRA Rule 2010.
The Financial Industry Regulatory Authority (FINRA) requires brokers and brokerage firms to report customer complaints, disputes, and regulatory sanctions. Brokers must also disclose financial matters such as personal bankruptcies, judgments, and liens.
Has Your Brokerage Firm “Denied” Your Claim for Damages Due to Stockbroker Malpractice?
It is quite common (and predictable as well) for brokerage firms to deny a customer’s complaint made directly to the company. Firms know that in many, if not most, instances telling the customer “we don’t think it’s our fault” will be the end to the problem.
Firms seldom, if ever, offer adequate resolution when a customer deals directly with the brokerage firm. In the unlikely event the firm does actually agree to discuss settlement , the firm will generally attempt to have you settle your case for a fraction of what it is worth.
If you think there is a problem with the way your account has been handled, or if you have had your claim “denied”, talk to an experienced securities attorney to learn your rights and to learn what the true value of your claim may be.
We do not charge to evaluate a case.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Lora J. Hoff, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.