Seattle, Washington financial advisor Angie Funtanilla (CRD# 4021482) was recently terminated from her former member firm in connection with alleged...
Read MoreBob 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.)
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