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Wells Fargo Advisor Christopher Hill: Investors File Complaints
Miami financial advisor Christopher Hill (CRD# 4683090) allegedly engaged in conduct that resulted in losses in a customer’s account, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Wells Fargo Clearing Services.
Mr. Hill’s BrokerCheck report discloses two investor complaints. The most recent, filed in December 2022, alleges that as a representative of Wells Fargo, he failed to immediately follow a customer’s instructions, resulting in losses. The pending complaint alleges unspecified damages.
A second investor complaint, filed in 2020, alleged that as a Wells Fargo representative, he “did not liquidate funds for [the claimant’s] Required Minimum Distribution as instructed.” The complaint alleged unspecified damages and was denied by the firm.
Investors should be aware that under FINRA Rule 2010, brokers like Mr. Hill are required to “observe high standards of commercial honor and just and equitable principles of trade.” Certain forms of unethical conduct, such as the failure to follow a customer’s instructions, may constitute violations of FINRA Rule 2010, provided the alleged activities occur “in the conduct of [the member’s] business.” FINRA-associated persons who violate Rule 2010 may be held liable in the event of account losses.
According to the Financial Industry Regulatory Authority, Christopher Hill holds 17 years of securities industry experience. Based in Miami, Florida, he has been a broker and an investment advisor with Wells Fargo Clearing Services since 2015. His past registrations include JP Morgan Securities (Naples, Florida; 2008-2015), BNP Paribas Investment Services (Miami, Florida; 2004-2006), and ES Financial Services (Miami, Florida; 2003-2004). His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Florida, Illinois, Iowa, Maine, Maryland, Massachusetts, New Jersey, New York, Ohio, Pennsylvania, South Carolina, Tennessee, and Texas. (Information current as of January 14, 2023.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.