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.
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