Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Holt (Holt), previously associated with Hightower Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Holt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $35,612.00 on September 24, 2021.
Charles Holt was named in a customer complaint that asserted the following causes of action: Breach of fiduciary duty, unsuitability, misrepresentations, failure to conduct a proper due diligence, and violation of FINRA Rules 2010 and 2310.