Charles Thomas Stevens (Charles Stevens) – Customer Disputes Filed Involving Financial Advisor/Broker Charles Stevens | Goodman & Nekvasil P.A. May Recover Investor Losses
Charles Stevens was a previously licensed financial advisor with D.H. Hill Securities, LLLP.
According to FINRA, Charles Stevens was named a respondent in a FINRA complaint alleging that he willfully failed to amend his Form U4 to disclose, or to timely amend his Form U4 to disclose, unsatisfied federal tax liens. The complaint alleges that Stevens also willfully failed to disclose an unsatisfied judgement against him in the amount of $634,387.65. The complaint also alleges that Charles Stevens made false statements to his member firm regarding his tax liens and judgement in annual certifications. The complaint further alleges that Stevens failed to appear and provide on-the-record testimony requested by FINRA in connection with its investigation of his failure to timely update his Form U4.
According to Charles Stevens’ BrokerCheck report, customer disputes have been filed alleging sales practice violations against Charles Stevens.
Customer Dispute 11/24/20: Investments made Sept 2016, allegations include common law fraud, breach of fiduciary duty, negligence, and breach of contract. This customer dispute is pending and seeks $100,000 in damages.
Customer Dispute 12/20/20: Claimant alleges unsuitable recommendations, breach of fiduciary duty, negligence, failure to supervise and breach of contract during period of 2012 to 2017. This customer dispute settled for $30,000.
Customer Dispute 8/16/17: Alleges unsuitable recommendations, breach of fiduciary duty, negligence, and breach of contract, beginning in early 2009. This customer dispute settled for $35,000.
Goodman & Nekvasil, P.A. May Recover Investor Losses
If you lost any money on investments with Charles Stevens, you may be able to recover your losses. If you lost money on investments with Charles Stevens and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Charles Stevens’ conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Charles Stevens and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 12/30/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.