BRIAN TROY HINSON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 400 MERIDIAN STREET, SUITE 200, HUNTSVILLE, AL, 35801.
BRIAN TROY HINSON has worked at LPL FINANCIAL LLC since April 30, 2015
Disclosure History
BRIAN TROY HINSON has 2 Disclosure Event(s).
Date: January 17, 2006 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE IN 1999 THEY PURCHASED VARIABLE ANNUITIES ON THE ADVICE OF THE REPRESENTATIVE, WHICH WERE UNSUITABLE BASED ON THEIR CIRCUMSTANCES. Settlement Amount: $79,992.00 Broker Comment: PLAINTIFFS BROUGHT A CLAIM FOR INVESTMENT MARKET LOSSES THEY INCURRED DURING THE 2000-2002 BEAR MARKET. THEY WERE LIKE THE MAJORITY OF INVESTORS DURING THAT PERIOD AND ACTUALLY DID INCUR LOSSES. HOWEVER, THESE LOSSES WERE NOT BASED ON ANY WRONGDOING ON MY PART AND STRICTLY RELATED TO MARKET CONDITIONS. THESE ALLEGATIONS WERE WITHOUT MERIT AND THE CASE WAS ACTUALLY DISMISSED PRIOR TO ANY SETTLEMENT. AFTER DISMISSAL, A SETTLEMENT WAS REACHED BETWEEN MY BROKER-DEALER AND THE PLAINTIFFS DUE TO THE BROKER-DEALERS ON-GOING COST TO DEFEND THE CASE. I WAS TOLD THIS WOULD BE AN UNREPORTABLE EVENT FOR ME PERSONALLY BUT FINRA HAS DECIDED TO CHANGE THE RULES AFTER THE FACT AND REQUIRE SUCH A DISCLOSURE.
Date: November 08, 2004 Category: Customer Dispute Allegations: COMPLAINANT ALLEGES THE PURCHASE OF A REIT IN MAY 2004 WAS UNSUITABLE,DID NOT MEET INVESTMENT OBJECTIVES AND RISKS WERE NOT DISCLOSED. REQUESTS RETURN OF MONIES INVESTED. Damage Amount Requested: $80,000.00
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for BRIAN TROY HINSON, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.