Hans Eveillard, Formerly with Northwestern Mutual, Barred by FINRA
SARASOTA, FLORIDA
Are you a former client of financial advisor Hans Eveillard, formerly with Northwestern Mutual in Sarasota, Florida? Our law firm is reviewing a securities regulatory action filed by FINRA against Hans Eveillard. Mr. Eveillard was barred by FINRA from the securities brokerage industry after he failed to respond to a FINRA investigation.
Eveillard had worked with Northwestern Mutual from September 2020 to July 2021. According to BrokerCheck, it was alleged that Eveillard facilitated a customer to join a venture called Clear Voice in the hopes of making profits. The owner of Clear Voice then vanished and took money from the investor.
BrokerCheck also discloses that Eveillard is facing a $303,000 customer complaint. Mr. Eveillard worked in Sarasota, Florida.
Mr. Eveillard was licensed through a FINRA member, and as such he was required to follow FINRA rules. In particular, Rule 8210 mandates that associated persons respond to FINRA investigations. A broker-dealer like Northwestern Mutual can be liable to investors for damages if they fail to reasonably supervise their representatives pursuant to Rule 3110.
Attorney David Neuman is licensed to practice law in Florida. Our investment fraud law firm has represented over one thousand investors who lost money because of financial advisor misconduct. Although we have offices in Denver, Seattle, and Phoenix, we represent investors throughout the country, including investors in Florida.
View Eveillard, Hans BrokerCheck 11.7.22
View Eveillard, Hans FINRA AWC