RAYMOND E HINDY is currently employed as a Broker and/or Investment Adviser at HAZLETT, BURT & WATSON, INC. located at 1107 9TH STREET, VIENNA, WV, 26105.
RAYMOND E HINDY has worked at HAZLETT, BURT & WATSON, INC. since March 31, 2003
Disclosure History
RAYMOND E HINDY has 3 Disclosure Event(s).
Date: May 15, 2004 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES THE FA MADE UNSUITABLE RECOMMENDATIONS. NO SPECIFIC DAMAGES ALLEGED.
Date: April 24, 2003 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT THE INCOME PROTECTION AND DEATH BENEFITS THEY ELECTED ON THEIR VARIABLE ANNUITIES WERE MISREPRESENTED BY THEIR REGISTERRED REPRESENTATIVE AT THE TIME OF SALE. NO DAMAGES ALLEGED Settlement Amount: $34,225.12 Broker Comment: TO AVOID ANY FURTHER COSTS AND DELAYS, THIS MATTER WAS SETTLED.
Date: January 01, 1985 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT THEY LOST IN IN EXCESS OF$70,000 IN THEIR DEALINGS WITH HINDY, PRIMARILY DUE TO LOSSESIN AN OIL AND GAS LIMITED PARTNERSHIP AND OPTIONS TRADING Damage Amount Requested: $100,000.00 Settlement Amount: $48,000.00 Broker Comment: PARKER HUNTER CHOSE TO SETTLE WITH THE CLIENTS.THE MATTER WAS SETTLED FOR $48,000.00 MR. HINDY DID NOTPARTICIPATE IN THE SETTLEMENT.CUSTOMER SOLD INS. IN HIS OWN BUSINESS FOR 10 YEARSOR MORE. HE WAS VERY AWARE OF DIFFERENT TYPES OF INVESTMENTS.HE INTERVIEWED WITH PARKER HUNTER IN MAY, 1985 BUT WAS NOTHIRED. IN NOV. 1985 HE BROUGHT THIS SUIT SHORTLY BEFORE ORAFTER THIS SETTLEMENT HE WAS HIRED BY WHEAT FIRST SEC. AS ABROKER. HE SIMPLY LIED ABOUT HIS KNOWLEDGE OF THE SECURITIESINDUSTRY AND FORGOT TO MENTION THAT THE OTHER INVESTMENT IN HISACCOUNT WHICH DID QUITE WELL. HI IS STILL IN THE INDUSTRYALTHOUGH NOT WITH WHEAT FIRST.
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