Charles Thomas Stevens

Date:

December 16, 2020

Type of alert:

FINRA Complaint  

FINRA Default Decision  

UPDATED 5/12/2021

On March 26, 2021, the Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers reached a Default Decision barring Charles Thomas Stevens from associating with any FINRA member firm in any capacity after he did not appear for a pre-hearing conference.  Stevens was a former general securities representative associated with D.H. Hill Securities, LLP in St. Augustine, Florida from June 2006 to February 2020.

According to the Complaint filed in December 2020 by FINRA Department of Enforcement, Stevens 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.

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.


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.

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