Tag Archives: DH Hill Securities

DH Hill Sanctioned By FINRA For Unauthorized Transactions

August 06, 2021  |   Posted by :   |   Investment and Regulatory News, Private Placement Fraud, Unregistered Securities   |   Comments Off on DH Hill Sanctioned By FINRA For Unauthorized Transactions

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 […]

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FINRA Charges DH Hill Stockbroker In Investigation

December 22, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Business Development Companies, Investment and Regulatory News   |   Comments Off on FINRA Charges DH Hill Stockbroker In Investigation

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 […]

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Investors Bring Breach Of Fiduciary Duty Claim Against DH Hill Securities

August 27, 2020  |   Posted by :   |   Alternative Investments, Breach of Fiduciary Duty, Securities Arbitration Claims, Securities Fraud   |   Comments Off on Investors Bring Breach Of Fiduciary Duty Claim Against DH Hill Securities

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 […]

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