sec whistleblower attorneys
June 04, 2019
James E. Hocker
Offering Fraud
SANCTION AMOUNT: $1,495,782
Defendants: James E. Hocker
The Defendant, an insurance agent, stole nearly $1.5 million from retail investors by falsely promising guaranteed returns of between 10% and 30% from investments he would make on their behalf in the S&P 500 and other unspecified investment vehicles. In actuality, Hocker did not invest any of the funds and simply kept them for personal use.
- Key Docs
- Official SEC press release
