It is essential that everyone understand as much as possible about the people with whom they entrust their money. There are several sources where you may learn more about a person’s background, including their prior employment history, regulatory administrative actions, and client complaints.
This important information may lead to questions about Charles Holt and investment losses you suffered. We will do our best to answer those questions.
DID CHARLES STEPHEN HOLT CAUSE YOU INVESTMENT LOSSES?
Charles Holt Formerly With Hightower Securities, LLC Has 3 Customer Complaints For Alleged Broker Misconduct
Who is Charles Holt formerly with Hightower Securities, LLC?
Charles Holt (CRD #1943440) who was formerly registered with Hightower Securities, LLC and located in Reston, Virginia is a subject of one of our many securities industry sales practice abuse investigations.
Charles Holt Customer Complaints
Charles Holt has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of Charles Holt’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Charles Holt’s former employer Hightower Securities, LLC for investment losses caused by the alleged misconduct.
Allegations Against Charles Holt
A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows:
- Churning, breach of fiduciary duty and unsuitable investment recommendations.
- Breach of fiduciary duty, unsuitable investment recommendations, misrepresentations, failure to conduct proper due diligence, in violation of FINRA rules 2010 and 2310 related to direct investments and limited partnership interests.
Charles Holt Red Flags & Your Rights As An Investor
Of course, Charles Holt did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Charles Holt at Hightower Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Charles Holt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hightower Securities, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Hightower Securities, LLC Due To Charles Holt
If you have questions about Hightower Securities, LLC and/or Charles Holt and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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