December 16, 2020
On December 1, 2020, the Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against Charles Thomas Stevens, a former general securities representative associated with D.H. Hill Securities, LLP in St. Augustine, Florida. Stevens was associated with this D.H. Hill from June 2006 to February 2020.
According to the Complaint, Stevens allegedly failed to amend his Form U4 from 2016 to 2018 to disclose unsatisfied federal tax liens and failed to provide on-the-record testimony during an investigation into this alleged misconduct. The IRS filed 19 liens against Stevens for unpaid tax liabilities from 1998 to 2006 and 2009 to 2013 that totaled $634,387.65. Based on the foregoing, Stevens violated FINRA 8210 and 2010.
FINRA Department of Enforcement is requesting relief to make findings of fact and conclusions of law that Charles Stevens committed the violations alleged in the complaint and order that sanctions and fines be imposed.
Steven’s FINRA BrokerCheck report reveals that he has one pending customer dispute with damages requested at $100,000 for allegedly committing common law fraud, breach of fiduciary duty, negligence, and breach of contract. In 2017, Stevens had two settled customer disputes that alleged unsuitable recommendations, breach of fiduciary duty, negligence, and breach of contract that settled for $35,000 and $30,000.
Talk to an Experienced Attorney Today
Call and speak to one of our attorneys* for a no-cost consultation to discuss your situation, answer your questions, and help you determine the next steps. This call usually takes about 15 minutes, but we are happy to talk to you as long as you would like!
Quick Review of Your Paperwork
If we think you might have a case, we will need to review a few basic documents. If we determine you have a case, then you will have the option to hire us as your attorneys to pursue it.
Signed Attorney/Client Agreement
If you decide to hire us to pursue your case, we will have you sign an attorney-client agreement so we can begin the process of trying to recover your losses.*
*In the vast majority of cases, our agreement is contingent – meaning you won’t owe us any money unless we recover money for you.