BRUCE HILL CAREY is currently employed as a Broker and/or Investment Adviser at FIDELITY BROKERAGE SERVICES LLC located at TWO CONTRA WAY, MERRIMACK, NH, 03054.
BRUCE HILL CAREY has worked at FIDELITY BROKERAGE SERVICES LLC since October 20, 2004
BRUCE HILL CAREY has 2 Disclosure Event(s).
Date: March 24, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT REGISTERED REPRESENTATIVE DID NOT FOLLOW HIS INSTRUCTIONS TO CHANGE HIS MANAGED ACCOUNT FROM ONE PORTFOLIO MODEL TO ANOTHER PORTFOLIO MODEL. Damage Amount Requested: $11,160.52 Settlement Amount: $7,967.20
Date: August 10, 1993 Category: Customer Dispute Allegations: 1) SUITABILITY OF INVESTMENTS 2) PROMISEDRETURN BY THE SALES REP 3) POSSIBLE UNAUTHORIZED TRADING INACCT. Damage Amount Requested: $2,480.00 Settlement Amount: $63,440.43 Broker Comment: RETURNED THE SALES CHARGE, PAID THE 8% INTERESTFOR LENGTH OF TIME IN PORTFOLIO THERE WAS NO LOSS IN THEPORTFOLIO. THE PORTFOLIO ACTUALLY MADE A POSITIVE RETURN IN THEGIVEN LENGTH OF TIME. THE AMOUNT IN QUESTION WAS NOT MORE THAN$5,000.00 IT WAS A SALES CHARGE OF $2,480.00.>THERE WAS NOT A LOSS IN THE PORTFOLIO OF$5,000.00 THERE WAS A SALES CHARGE OF $2,480.00 >THERE WAS NO FRAUD, AS THERE WAS NO MISREPRESENTATION. >THERE WAS NO WRONGFUL TAKING OF PROPERTY. **IT WAS MYSELF THAT FIRST SUGGESTED WE CLOSE OUT THE ACCTAND REIMBURSE THE CUSTOMER. I REALIZED THEY WERE INCAPABLE OFUNDERSTANDING AFTER THE MEETING FOR THE THIRD TIME. >I BELIEVE THE COMPLAINT LETTER CAME IN FROM A COMPETITOR.
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 BRUCE HILL CAREY, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.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.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.
How to choose a broker or investment adviser. Learn More