Philip Hearl Hamilton of Arlington Texas a stockbroker employed by Hilltop Securities Independent Network Inc. has been discharged by the firm on March 13, 2018 supported by allegations that Hamilton violated the firm’s policies by effecting trades in a customer’s account that was deceased.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on August 11, 2017, a customer filed an investment related complaint involving Hamilton’s conduct in which the customer requested $12,805.86 in damages founded on accusations that while Hamilton was associated with Hilltop Securities, unauthorized trades were effected in the customer’s account; the customer’s account was churned; and the customer, who had diminished capacity, had been financially exploited.
Hamilton has been registered with D.H. Hill Securities, LLLP since February 15, 2018.
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