Chuck J. Hilliard II, of Austin, Texas, a stockbroker formerly registered with Kestra Investment Services, LLC, is the subject of a customer initiated investment related written complaint on December 7, 2016, in which the customer requested more than $5,000.00 in damages based upon allegations that Hilliard effected unsuitable transactions in the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on August 23, 2004, a customer initiated investment related arbitration claim involving Hilliard’s conduct was settled for $120,000.00 in damages based upon allegations that Hilliard negligently handled the customer’s investment account, and effected unsuitable equities transactions. Further, the customer alleged that Hilliard’s activities failed to be supervised by Merrill Lynch, Pierce, Fenner & Smith Inc.
Hilliard was fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated on September 4, 2015, based upon allegations that he failed to provide accurate information to his firm about expenses that he sought to be reimbursed for. Since May 16, 2017, he has been associated with Wedbush Securities Inc.
Guiliano Law Group
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