CHARLES PRICE HEWES

CHARLES PRICE HEWES is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 302 Courthouse Road, Suite D, Gulfport, MS, 39507.

CHARLES PRICE HEWES has worked at LPL FINANCIAL LLC since August 29, 2013

Disclosure History

CHARLES PRICE HEWES has 1 Disclosure Event(s).

Date: February 11, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGED THAT FUNDS WERE TO BE INVESTED IN CERTIFICATES OF DEPOSIT OR TREASURIES WITH THE LOWEST POSSIBLE LEVEL OF RISK. INSTEAD FUNDS WERE INVESTED IN MUTUAL FUNDS. ALLEGED DAMAGES, UNSPECIFIED, OVER $5,000.(12/22/2009)
Settlement Amount: $6,137.00

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 CHARLES PRICE HEWES, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.