David Roger Hirons of La Jolla California a stockbroker formerly registered with RBC Capital Markets LLC has been terminated from the firm on April 6, 2018 founded on allegations that Hirons executed orders in violation of the firm’s policy.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Hirons is referenced in three more customer initiated investment related disputes containing accusations of Hirons’ misconduct while employed by Wells Fargo Advisors LLC, UBS Financial Services and PaineWebber.
Specifically, on October 29, 2002, a customer filed an investment related complaint regarding Hirons’ activities in which the customer requested $10,000.00 in damages supported by allegations that Hirons sold closed-end funds to a customer while guaranteeing that the funds would not come with any principal risk.
Then, on June 23, 2003, a customer filed an investment related complaint involving Hirons’ conduct where the customer sought damages estimated to exceed $5,000.00 based upon accusations that the customer would not sustain principal losses on mutual fund investments. Then, a customer initiated investment related arbitration claim concerning Hirons’ conduct was settled for $15,000.00 in damages founded on allegations that Hirons misrepresented a managed futures fund. FINRA Arbitration No. 09-06391 (Nov. 25, 2010).
Hirons has been employed by Wedbush Securities Inc. since May 25, 2018.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com