Chuck J. Hilliard II, of Austin, Texas, a stockbroker formerly registered with Kestra Investment Services, LLC, is the subject of a customer initiated investment related written complaint on December 7, 2016, in which the customer requested more than $5,000.00 in damages based upon allegations that Hilliard effected unsuitable transactions in the customer’s account.

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on August 23, 2004, a customer initiated investment related arbitration claim involving Hilliard’s conduct was settled for $120,000.00 in damages based upon allegations that Hilliard negligently handled the customer’s investment account, and effected unsuitable equities transactions. Further, the customer alleged that Hilliard’s activities failed to be supervised by Merrill Lynch, Pierce, Fenner & Smith Inc.

Hilliard was fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated on September 4, 2015, based upon allegations that he failed to provide accurate information to his firm about expenses that he sought to be reimbursed for. Since May 16, 2017, he has been associated with Wedbush Securities Inc.

Guiliano Law Firm

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

Tags: , ,

Comments are closed.

%d bloggers like this: