Christopher Robert Hickman of Delray Beach Florida a stockbroker formerly registered with Cetera Advisors LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $1,000,000.00 in damages founded on allegations that (1) fiduciary duties were breached (2) misrepresentations had been negligently made by the stockbroker in regard to […]
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Tag Archives: Christopher Robert Hickman
Investors Sue Cetera Advisors For Breach Of Fiduciary Duty
December 06, 2019 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Investment and Regulatory News, Securities Arbitration Claims, Unit Investment Trusts (UITs) | 0 Comments
Cetera Advisors Stockbroker Sanctioned For Unit Investment Trusts
June 19, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unit Investment Trusts (UITs), Unsuitable Investment Recommendations | 0 Comments
Christopher Robert Hickman, of Delray Beach, Florida, a stockbroker formerly registered with Cetera Advisors LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unsuitable unit investment trust trades in customer accounts. Letter of Acceptance, Waiver and […]
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