August 12, 2026 September 23, 2026
If your broker hurt your retirement, you may be able to recover If a customer makes a complaint regarding a broker, it must be reported to the appropriate regulatory bodies, ensuring that a record of the dispute is available to the public.
Did you lose money on investments recommended by this financial advisor? Our legal team is available to speak with customers regarding potential claims for recovery. A review of their professional history shows the following Previously Reported Complaints:
Claim(s) Made Against Stephen Michael Hooks:
Claim Date: 8/12/2026
“Customer alleges unsuitable investment recommendation regarding managed account investment.”
This claim, as of this posting, is currently Pending with a claim amount of $1,500,000.00 .
See more information on FINRA’s BrokerCheck site for Stephen Michael Hooks .
Did you have problems in an account managed by Stephen Michael Hooks?
If you were a client of Stephen Michael Hooks and J.P. MORGAN SECURITIES LLC from NEW ORLEANS, LA and had lost money in your account that does not seem right, we are interested in discussing the possibility of pursuing a claim on your behalf. (The value of having a lawyer look at your claim is discussed more thoroughly in our video, Do I need a lawyer for my FINRA arbitration? .) Brokerage firms are responsible for overseeing the actions of their registered representatives and must ensure that their financial advisors comply with all relevant regulations and company policies. The brokerage firm may be held liable for any investment losses suffered by customers due to their failure to properly supervise their agents, such as Stephen Michael Hooks. The Securities Lawyers at Halling & Cayo, S.C. have helped investors recover millions of dollars in the past.
The Securities Lawyers at Halling & Cayo S.C. bring claims on behalf of individual(s) and/or groups of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” (See our video, What are the steps of a FINRA Arbitration .) If you were a customer of Stephen Michael Hooks and J.P. MORGAN SECURITIES LLC and suffered investment losses, please contact the Securities Lawyers . We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away. Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .
Sean M. Sweeney is a shareholder at Halling and Cayo , a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.
He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.
Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.
Contact Us
