Charles Stevens, Formerly with D.H. Hill Securities, Subject of FINRA Complaint
Have you lost money with financial advisor Charles T. Stevens (CRD# 1698058) of D.H. Hill Securities in Humble, Texas? FINRA (the Financial Industry Regulatory Authority) filed a complaint against Charles Stevens, alleging that he failed to timely disclose 19 federal tax liens against him, as well as an unsatisfied $634,387 judgment.
Charles Stevens’s CRD report, a public record maintained by FINRA, also states that Stevens has been the subject of five customer complaints, three of which were filed within the last three years. Each of the complaints references investments in REITs (or real estate investment trusts) and BDCs (business development companies).
Charles T. Stevens was a registered representative of D.H. Hill Securities from 2006 to February 2020. He has worked at branch offices in Humble, Texas.
Brokerage firms like D.H. Hill Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Texas and New England. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against D.H. Hill Securities.