Brian Hamm: $150K Complaint Against Luebeck Geisler Hamm Advisor

Slinger, Wisconsin financial advisor Brian Hamm (CRD# 5801533) allegedly engaged in misconduct that resulted in six-figure damages, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker with JW Cole Financial and an investment advisor with JW Cole Advisors, doing business as Luebeck Geisler Hamm Wealth Management.

Mr. Hamm’s BrokerCheck report discloses one investor complaint. Filed in April 2023, it alleges that as a representative of JW Cole Financial, he “provided inaccurate advice regarding [the] disbursement of funds” from a trust, resulting in “additional tax liabilities.” The pending complaint alleges damages of $150,000.

Investors should be aware of FINRA Rule 2020, which forbids financial advisors like Mr. Hamm from “effect[ing] any transaction in, or induc[ing] the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” In other words, they may not misrepresent material facts—that is, information that poses a significant consideration for investors considering an investment or investment strategy—concerning their recommendations to their clients. Brokers who make misrepresentations regarding the investments they recommend may be held liable in the event of losses.

According to the Financial Industry Regulatory Authority, Brian Hamm holds 12 years of securities industry experience. Based in Slinger, Wisconsin, he has been a broker with JW Cole Financial and an investment advisor with JW Cole Advisors since 2019, doing business as Luebeck Geisler Hamm Wealth Management. He was previously registered with Mutual of Omaha Investor Services in Milwaukee, Wisconsin from 2010 until 2019. His credentials include the passage of four securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; 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. He is licensed in Minnesota and Wisconsin. (Information current as of May 27, 2023.)

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