Victim of Financial Fraud? Call Now
Home » Broker Blog » Charles Holt Involved in Two Investor Disputes

Charles Holt Involved in Two Investor Disputes

Charles Holt (CRD #:1943440), a broker formerly registered with Hightower Securities, is involved in two similar investor disputes, according to his BrokerCheck record, accessed on February 2, 2022. 

Investor Allegations

Charles Holt has been named in two investor disputes. In both cases, the claimants alleged breach of fiduciary duty, unsuitability, misrepresentations, failure to conduct proper due diligence, and violation of FINRA Rules 2010 and 2310.

  • On September 24, 2021, an investor alleged that Charles Holt’s recommendations led to a loss of $35,612. The dispute is pending. 
  • On March 16, 2020, an investor alleged that Charles Holt’s recommendations and misrepresentations led to a loss of $100,001; the dispute is pending. 

Background Information

Charles Holt has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Besides Hightower Securities, Charles Holt has also worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691).

Kurta Law Can Help

If you suffered losses after working with Charles Holt, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

Recent Results

$16.75M

Million

Recovery for ARC NYC REIT Investors
Learn More
Kurta Law recovered millions of dollars for investors who purchased the speculative and unsuitable ARC NYC REIT. The arbitration settled for substantially more than the investor losses.

Recent Results

$9.3M

Million

Investors Receive Award for More than their Losses
Learn More
Jonathan Kurta was able to recover over $9.3 million for a group of defrauded investors. The claims were based upon the brokerage firm’s failure to supervise a stockbroker who stole client funds and then prepared and disseminated fake account statements for decades.

Recent Results

$7.1M

Million

Elderly Victims Recover After a Decade of Fraud
Learn More
Jonathan Kurta represented a group of elderly women who were the victims of a financial crime perpetrated by a rogue broker. The broker utilized forged documents to steal funds from the clients’ accounts over a decade.

Recent Results

$4.2M

Million

Investor vs. Royal Alliance
Learn More
Jonathan Kurta represented an investor who alleged that Royal Alliance Associates had not fulfilled their supervisory duties. This allegedly allowed brokers to engage in conversion and RICO violations. Read a copy of the award here.

Recent Results

$1M

Million

Utah Firm Executed Unnecessary Transaction
Learn More
A FINRA panel sided with Kurta Law and found that a Utah brokerage firm executed unnecessary transactions in order to generate more commissions. Read a copy of the award here.

Recent Results

$2M

Million

Arizona Investors Options Trading Scam
Learn More
Kurta Law negotiated a $2 million settlement on behalf of Arizona investors who were defrauded in an options trading scam.

Categories