WALTER LOUIS HILL is currently employed as a Broker and/or Investment Adviser at CARTY & COMPANY, INC. located at 6263 POPLAR AVENUE, SUITE 800, MEMPHIS, TN, 38119.
WALTER LOUIS HILL has worked at CARTY & COMPANY, INC. since September 07, 1988
Disclosure History
WALTER LOUIS HILL has 3 Disclosure Event(s).
Date: February 02, 1982 Category: Regulatory
Date: January 28, 1982 Category: Regulatory Initiated By: IOWA Resolution: Order SanctionDetails: Sanctions: Cease and Desist/Injunction Broker Comment: MADE UNSOLICITED SALES IN IOWA
Date: January 01, 1982 Category: Regulatory Initiated By: GEORGIA Allegations: INVOLVED THE SALE OF TWO ISSUES TO A RESIDENT OF GEORGIA.THE CUSTOMER WAS CONTACTED AT HIS RESIDENCE IN GEORGIA. HOWEVER, IT WAS SHOWN THAT THE CUSTOMER ALSO MAINTAINED A RESIDENCE IN CHATTANOOGA TN WAS ALSO CONTACTED IN TN AND WAS ADDITIONALLY SHOWN THAT THE CUSTOMER WAS A DIRECTOR OF A TENNESSEE CORPORATION AND MADE FREQUENT TRIPS TO MEMPHIS, TN. Resolution: Decision Broker Comment: U4 DISCLOSES THAT THE STATE OF GEORGIA ISSUED AN ORDER OFPROHIBITION IN 1982 ALLEGING VIOLATIONS INVOLVED WITH THESALE OF TWO NEW ISSUES TO A RESIDENT OF GEORGIA. THECUSTOMER WAS CONTACTED AT HIS RESIDENCE IN GEORGIA. HOWEVER,IT WAS SHOWN THAT THE CUSTOMER ALSO MANTAINED A RESIDENCEIN CHATTANOOGA, TENNESSEE AND WAS ALSO CONTACTED THERE. THECUSTOMER WAS A DIRECTOR OF A TENNESSEE CORPORATION, ANDMADE FREQUENT TRIPS TO MEMPHIS.
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 WALTER LOUIS HILL, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.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.