Jamie Hilton Allegedly Made Unsuitable Recommendations

Jamie Hilton (CRD #: 1253959), a broker registered with UBS Financial Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on January 26, 2024. Keep reading if you have questions about his alleged conduct. 

On October 23, 2023, an investor alleged that Jamie Hilton recommended that she remain invested in equities instead of selling to cash. This was allegedly unsuitable. The investor also alleged that he purchased an annuity without her knowledge and then borrowed against the annuity. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Buying an annuity without an investor’s knowledge may violate this rule. 

FINRA Rule 2111 – Unsuitable Investments 

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and financial goals. Investments that do not take these factors into account may be unsuitable. 

Background Information 

Jamie Hilton has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• Series 6TO Investment Company Products/Variable Contracts Representative Examination 
• SIE – Securities Industry Essentials Examination 
• Series 3 National Commodities Futures Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 33 states and D.C. He is also a registered investment adviser in Rhode Island and Texas. 

Jamie Hilton has registered with the following firms: 

• UBS Financial Services (CRD #: 8174) 
• Morgan Stanley (CRD #: 149777) 
• CitiGroup Global Markets (CRD #: 7059) 
• Lehman Brothers (CRD #: 7506) 
• First Investors Corporation (CRD #: 305) 

Kurta Law Can Help 

If you have worked with James Hilton and have concerns about your investments, do not hesitate to contact us 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 that 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. Do not let securities fraud go unchecked. Start your recovery process today.