Leslie Howard Kern (also known as Les Kern), of Wilmington, North Carolina, a stockbroker registered with DH Hill Securities LLLP, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $200,000.00 in damages based upon allegations that Kern made unsuitable recommendations in asset-backed…
DH Hill Securities LLLP a securities broker dealer headquartered in Kingwood Texas has been censured and fined by Financial Industry Regulatory Authority (FINRA) supported by findings that the securities broker dealer made unregistered securities transactions. Letter of Acceptance Waiver and Consent No. 2019063187001 (July 22, 2021). According to the AWC, from August of 2015 to…
Charles Thomas Stevens of Saint Augustine Florida a stockbroker formerly registered with DH Hill Securities LLLP has been charged by Financial industry Regulatory Authority (FINRA) Department of Enforcement with failing to testify regarding allegations of his concealment of judgements and tax liens. Department of Enforcement v. Charles Thomas Stevens. 2017056627801 (Dec. 1, 2020). According to…
Charles Thomas Stevens of Saint Augustine Florida a stockbroker formerly registered with DH Hill Securities LLLP is referenced in a customer initiated investment related arbitration claim which was resolved for $35,000.00 in damages supported by allegations that negligence and the breach of an investment agreement resulted in the customer’s losses on alternative investments sold by…