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Investor Alleges Randolph Hinton Breached His Contract

Randolph Hinton (CRD #: 1539210), a broker formerly registered with United Planners’ Financial Services of America, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on March 11, 2025. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On December 27, 2024, an investor filed a dispute alleging that Randolph Hinton breached his contract and violated the suitability rule. The client seeks $245,000 in damages in this pending dispute.

FINRA Rule 2010

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

FINRA Rule 2111

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must use the information in an investor’s profile, such as their age, risk tolerance, and tax status when making recommendations.

Investors who believe their losses are the result of unsuitable investment recommendations may be able to recover their funds by seeking out FINRA arbitration.

Background Information

Randolph Hinton has passed the following exams:

  • General Securities Principal Examination – Series 24
  • Securities Industry Essentials Examination – SIE
  • National Commodity Futures Examination – Series 3
  • General Securities Representative Examination – Series 7
  • Uniform Securities Agent State Law Examination – Series 63

He previously worked for the following firms:

  • United Planners’ Financial Services of America (CRD#:20804)
  • Washington Investment Corporation (CRD#:25727)
  • First Potomac Investment Services (CRD#:24066)
  • Johnston, Lemon & Company (CRD#:473)
  • Anderson & Strudwick (CRD#:48)

Kurta Law Can Help

If you worked with Randolph Hinton 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 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. 

 

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