Christopher Hill Allegedly Failed to Follow Investors’ Instructions

Christopher Hill (CRD #: 4683090), a broker registered with Wells Fargo Clearing Services, has been the subject of two disputes, according to his BrokerCheck record, accessed on February 28, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Disputes

On December 22, 2022, an investor alleged that Christopher Hill failed to promptly follow his instructions on December 9, 2022, resulting in losses. This dispute was denied by the firm.

In a dispute filed on March 17, 2020, an investor alleged that Christopher Hill failed to follow his instructions for liquidating funds for his Required Minimum Distribution on January 29, 2020. This dispute was also denied by the firm.

Investors should know, however, that firms don’t need to permit an outside review before denying a dispute. Investors can still seek out FINRA arbitration and potentially recover their losses following a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions violates FINRA Rule 2010. 

Background Information

Christopher Hill has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

Christopher Hill is a registered broker in 16 states and a registered investment adviser in Florida and Texas.

He has also worked for the following firms:

• J.P. Morgan Securities (CRD#:79)
• J.P. Morgan Securities (CRD#:18718)
• BNP Paribas Investment Services (CRD#:44598)
• E.S. Financial Services (CRD#:104316)

Kurta Law Can Help

If you worked with Christopher Hill and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.