Tag Archives: Howard L. Hull III

HLH Securities Owner Suspended For Supervisory Failures

August 17, 2017  |   Posted by :   |   Failure To Supervise, Selling Away and Outside Activities   |   0 Comments

Howard L. Hull III, of Newport Coast, California, a prior owner, vice-president, chief compliance officer, and financial and operations principal for HLH Securities, Inc., has been fined $20,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Hull, inter alia, […]

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