Victim of Financial Fraud? Call Now
Home » Broker Blog » William Hester Facing a Regulator Investigation

William Hester Facing a Regulator Investigation

William Hester (CRD #: 1992112), a broker registered with Calton & Associates, is the subject of a regulator investigation in the State of Texas. This disclosure appears on his BrokerCheck record, accessed on July 2, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investigation 

On April 11, 2024, the Texas State Securities Board initiated an investigation into William Hester following a complaint filed by an investor. The description of the investigation does not provide further detail. 

Background Information 

William Hester 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 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 24 General Securities Representative Examination 

He is a registered investment adviser and broker in Texas. He is a registered broker in Colorado and North Dakota. 

During his 34 years of experience, William Hester has registered with eight firms: 

  • Calton & Associates (CRD #: 20999) 
  • Dominion Portfolio Management (CRD #: 106918) 
  • Dominion Investor Services (CRD #: 21548) 
  • Summit Brokerage Services (CRD #: 34643) 
  • Summit Financial Group (CRD #: 109485)
  • VSR Advisory Services (CRD #: 14503) 
  • SumAmerica Securities (CRD #: 20068) 
  • First American National Securities (CRD #: 10111) 

Kurta Law Can Help 

If you have worked with William Hester and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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.

Recent Results

$16.75M

Million

Recovery for ARC NYC REIT Investors
Learn More
Kurta Law recovered millions of dollars for investors who purchased the speculative and unsuitable ARC NYC REIT. The arbitration settled for substantially more than the investor losses.

Recent Results

$9.3M

Million

Investors Receive Award for More than their Losses
Learn More
Jonathan Kurta was able to recover over $9.3 million for a group of defrauded investors. The claims were based upon the brokerage firm’s failure to supervise a stockbroker who stole client funds and then prepared and disseminated fake account statements for decades.

Recent Results

$7.1M

Million

Elderly Victims Recover After a Decade of Fraud
Learn More
Jonathan Kurta represented a group of elderly women who were the victims of a financial crime perpetrated by a rogue broker. The broker utilized forged documents to steal funds from the clients’ accounts over a decade.

Recent Results

$4.2M

Million

Investor vs. Royal Alliance
Learn More
Jonathan Kurta represented an investor who alleged that Royal Alliance Associates had not fulfilled their supervisory duties. This allegedly allowed brokers to engage in conversion and RICO violations. Read a copy of the award here.

Recent Results

$1M

Million

Utah Firm Executed Unnecessary Transaction
Learn More
A FINRA panel sided with Kurta Law and found that a Utah brokerage firm executed unnecessary transactions in order to generate more commissions. Read a copy of the award here.

Recent Results

$2M

Million

Arizona Investors Options Trading Scam
Learn More
Kurta Law negotiated a $2 million settlement on behalf of Arizona investors who were defrauded in an options trading scam.

Categories