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.
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.
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 firstname.lastname@example.org for a free consultation.
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