DONALD STEWART HUTCHINSON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 37 BIRCHBANK RD, SHELTON, CT, 06484.
DONALD STEWART HUTCHINSON has worked at LPL FINANCIAL LLC since December 09, 2003
DONALD STEWART HUTCHINSON has 2 Disclosure Event(s).
Date: October 30, 2001 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT HER ACCOUNT WAS TRADED QUITE HEAVILY AND IN MOST CASES WITHOUT HER KNOWLEDGE. NO SPECIFIC DAMAGE AMOUNT ALLEGED. Broker Comment: A RESPONSE DENYING THE CLIENT'S ALLEGATIONS WAS SENT TO HER IN NOVEMBER 2001.
Date: May 28, 1999 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT DONALD HUTCHINSONPURCHASED SHARES OF A MUTUAL FUND IN HIS MOTHER'S ACCOUNTWITHOUT HER CONSENT. CUSTOMER ALLEGES $10,316 IN DAMAGES. THISOCCURED AT MERRILL LYNCH. Damage Amount Requested: $10,316.00 Broker Comment: THE CUSTOMER'S ALLEGATIONS ARE FALSE. HE HAD NOKNOWLEDGE OF THE CIRCUMSTANCES OF THE PURCHASE AS MRS. NELSONDID NOT DISCUSS INVESTMENTS WITH HIM. THERE WAS NO QUESTIONABOUT THE PURCHASE AT THE TRIME SALE-ONLY AFTER MRS. NELSON WASDEAD. THE PURCHASE PRODUCED A PROFIT WHEN INCOME AND CAP GAINSARE INCLUDED-THEY WERE NOT REINVESTED. HAD RESULTS BEENCALCULATED CORRECTLY AND MY ADVICE BEEN HEEDED THE SHARE WOULDBE CONSIDERABLY HIGITEN TODAY. CUSTOMER WAS INFORMED OFCORRECT RETURNS BEFORE THE SALE.
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 DONALD STEWART HUTCHINSON, 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If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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