Pierre Hilario Barred by FINRA Following Private Placement Allegations
Pierre Hilario (CRD #: 4386481) has been barred by FINRA, according to his BrokerCheck record, accessed on October 30, 2023. Keep reading if you have questions about his alleged conduct as a broker.
On September 21, 2023, Pierre Hilario consented to the findings that he refused to appear for on-the-record testimony or produce documents or information requested by FINRA in connection with its investigation into certain private placement offerings. Private placements are not registered with the SEC and should therefore not be offered to anyone but accredited (i.e., very wealthy) investors.
You can read a copy of the bar here.
FINRA Rule 8210
FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 8210 also violate this rule.
Pierre Hilario has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 3 National Commodity Futures Examination
- Series 7 General Securities Representative Examination
During his 20 years of experience, Pierre Hilario has registered with seven firms:
- Ni Advisors (CRD #: 134502)
- SW Financial (CRD #: 145012)
- Democracy Funding (CRD #: 122804)
- Cabot Lodge Securities (CRD #: 159712)
- Realty Capital Securities (CRD #: 145454)
- Lightstone Securities (CRD #: 132596)
- UBS Financial Services (CRD #: 8174)
Kurta Law Can Help
If you worked with Pierre Hilario and have concerns about your investments, please contact us today at 877-600-0098 or email@example.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 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.