July 2018-St. Augustine, Florida
The FINRA records of Charles T. Stevens, a stock broker who is currently employed by D,H. Hill Securities , disclose 2 currently pending customer disputes and 5 outstanding IRS judgement/liens.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA Case 17-3348 a customer of D.H. Hill Securities seeks damages of $150,000 and alleges that Stevens made unsuitable recommendations to invest in real estate investment trusts (REITs) and business development companies (BDCs). The claim alleges that D.H. Hill failed to supervise Stevens.
In FINRA Case 17-2154 a customer of D.H. Hill alleges that Stevens made unsuitable recommendations, was negligent and breached his fiduciary duty in connection with investments in REITs and BDCs. Damages are not specified.
Stevens discloses five currently outstanding liens, which total over $500,000, in favor of the Internal Revenue Service. The liens are filed in the St. Johns County Clerk’s office.
Stevens has been employed with D.H. Hill Securities since 6/2006 and operates St. John’s Financial Planning.
If you have losses in an account handled or supervised by Charles Stevens call for a no charge consultation to discuss your legal options for recovery.
D.H. Hill Securities
D.H. Hill Securities is based in Kingwood, Texas, and was formed in 1996. The company has branch offices in Texas, Florida and other states. Danny Harold Hill serves as chief compliance officer and municipal partner.
In 2016 FINRA sanctioned D.H. Hill Securities with a censure and fine of $30,000 to resolve allegations that the company had inadequate supervisory procedures related to the sale of a REIT offering. FINRA Case 2014040082301.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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