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William Hutchingson is the Subject of a Six-Figure Dispute

William Hutchingson (CRD #: 2131647), a broker registered with Cetera Investment Services, is the subject of an investor dispute. This is according to a disclosure on his BrokerCheck record, accessed on December 10, 2023. Investors should know that this is the second investor dispute on his record. 

On November 27, 2023, an investor alleged that William Hutchingson misrepresented investments. The investor is seeking $100,000. 

On September 6, 2023, an investor alleged that he recommended an unsuitable investment. The investor is seeking $50,000. 

FINRA Rule 2020 – Misrepresentation

FINRA Rule 2020 prohibits the misrepresentation of investments and omission of material facts. Material facts include information about an investment’s potential returns, as well as charges, expenses, and fees.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misrepresentation also violates this rule.

Background Information 

William Hutchingson has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination
  • Series 25 NYSE Trading Assistant Examination 
  • Series 55 Limited Representative-Equity Trader Exam 
  • Series 7 General Securities Representative Examination 

He is a registered investment adviser and broker in New York. William Hutchingson is also a registered broker in Florida, Nevada, New Jersey, Pennsylvania, and Virginia. 

During his 25 years of experience, he has registered with nine firms: 

  • Cetera Investment Services (CRD #: 15340) 
  • Cetera Investment Advisers (CRD #: 105644) 
  • Infinex Investments (CRD #: 35371) 
  • Essex National Securities (CRD #: 25454) 
  • HSBC Securities (USA) (CRD #: 19585) 
  • Park Avenue Securities (CRD #: 46173) 
  • S.J. Levinson & Sons (CRD #: 143867) 
  • JNK Securities (CRD #: 34071) 
  • Salomon Smith Barney (CRD #: 7059) 

Kurta Law Can Help 

If you have worked with William Hutchingson 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.