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

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