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Charles Holt Involved in Two Investor Disputes

Feb 16, 2022 Broker Blog

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.