Close Menu
Free Consultation: 888-976-6111

Bob Hoefel: Wells Fargo Fired Tacoma Advisor

Tacoma, Washington financial advisor Bob Hoefel (CRD# 1508512) was fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Wells Fargo representative is currently registered as a broker with US Bancorp Investments.

Mr. Hoefel’s BrokerCheck report discloses his termination from his former member firm. Filed in August 2023, the disclosure states that Wells Fargo fired him in connection with allegations that he did not contact a customer prior to authorizing a trade in her account, and additionally that he “did not escalate the subsequent customer complaint.”

His BrokerCheck report also discloses three investor complaints, all of which were denied.The most recent, filed in 2009, alleged that as a representative of Wamu Investments, he failed to follow a customer’s instructions to liquidate the client’s mutual funds. The complaint alleged unspecified damages estimated to exceed $5,000 and was denied by the firm.

An earlier investor complaint, filed in 2008, alleged that as a Wamu Investments representative, he misrepresented material facts regarding a corporate bond purchased in December 2006. The complaint alleged unspecified damages and was denied.

A third investor complaint, filed in 2000, alleged that he recommended an unsuitable municipal bond while a representative of WM Financial Services. The complaint alleged damages of $5,000 and was denied by the firm.

According to the Financial Industry Regulatory Authority, Bob Hoefel holds 37 years of securities industry experience. Based in Tacoma, Washington, he has been a broker with US Bancorp Investments since November 2023. His past registrations include Wells Fargo Clearing Services (Olympia, Washington; 2011-2023), Wells Fargo Investments (Olympia, Washington; 2008-2011), Wamu Investments (Olympia, Washington; 1993-2008), Merrill Lynch (New York, New York; 1988-1993), and Waddell & Reed (1986-1988). His credentials include the passage of six securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Direct Participation Programs Representative Examination, or Series 22; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. (Information current as of November 13, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Phillip Anderson: FINRA Suspends Ex-Kingswood Advisor

    Former Roseville, California financial advisor Phillip Anderson (CRD# 814936) was recently suspended and fined in connection with alleged rule violations....

    Read More
  • Judah Spinner: FINRA Suspends Ex-Primerica Advisor

    Former Las Vegas, Nevada broker Judah Spinner (CRD# 7039921) was recently sanctioned and suspended in connection with alleged rule violations....

    Read More
  • Patrick Kelly: $200K Complaint Against Shamrock Capital Advisor

    Highlands Ranch, Colorado financial advisor Patrick Kelly (CRD# 1258726) recently received an investor complaint alleging that his conduct resulted in...

    Read More
  • Jordan Rider: $120K ETF Complaint Against LPL Advisor

    Leawood, Kansas financial advisor Jordan Rider (CRD# 5292169) mismanaged a client’s accounts, according to a recent investor complaint. Financial Industry...

    Read More
  • Previous
  • Next