D.H. Hill Securities: Complaints, Broker Misconduct & Investor Lawsuits
D.H. Hill Securities, LLLP (CRD#: 41528), headquartered in Kingwood, Texas, has a notable regulatory history involving supervisory failures, private placement sales issues, and multiple broker disclosures. Our firm is investigating potential securities claims involving D.H. Hill. This review may help you understand your legal options for financial recovery.
The firm conducts business in private placements, mutual fund sales, annuities, and REIT offerings. Over the years, regulators have cited D.H. Hill Securities for compliance lapses and supervisory deficiencies.
Regulatory History of D.H. Hill Securities
According to FINRA BrokerCheck, D.H. Hill Securities has 3 regulatory actions on record. These actions point to recurring supervisory failures and issues with alternative investment sales.
Recent Broker Misconduct & Regulatory Sanctions
Charles Thomas Stevens, CRD#: 1698058 – Barred by FINRA (2021)
Barred after failing to disclose tax liens and a judgment. His record includes 11 disclosures, including multiple customer disputes and regulatory actions.
Jason Hawke, CRD#: 4177415 – Discharged (August 2025)
Record lists 14 disclosures, including customer disputes and terminations. Fired in 2025 after allegedly falsifying client account information.
Notable Regulatory Sanctions Against D.H. Hill Securities
Texas Securities Board – April 18, 2024
Reprimanded and fined $42,000 for supervisory failures related to L-Bond concentration guidelines.
FINRA – July 22, 2021
Censured and fined $25,000 for improperly selling Reg D private placements without establishing substantive relationships with investors.
FINRA – January 25, 2012
Censured, fined $30,000, and ordered to hire a compliance consultant for supervisory and filing failures involving a REIT offering.
FINRA Arbitration Claims & Lawsuits
Regulatory sanctions are often accompanied by customer complaints. D.H. Hill brokers have faced numerous disputes involving allegations of unsuitable investments, negligence, and supervisory failures. These claims often relate to alternative investments such as private placements and real estate programs.
The White Law Group has filed hundreds of FINRA arbitration claims nationwide on behalf of investors alleging losses due to broker misconduct at firms like D.H. Hill Securities.
Legal Options: How to Recover Investment Losses
Broker-dealers are legally required to supervise their representatives. If a D.H. Hill broker engaged in misconduct or recommended unsuitable investments, the firm may be liable for investor losses due to negligent supervision.
Investors may pursue compensation through FINRA arbitration, which is typically faster and more cost-effective than traditional litigation.
Free Consultation with a Securities Attorney
If you invested with D.H. Hill Securities and have concerns about your financial advisor or investment losses, call The White Law Group at 888-637-5510 for a free consultation.
Our experienced FINRA arbitration attorneys have handled more than 800 FINRA cases nationwide. We represent investors in claims involving securities fraud, unsuitable investments, overconcentration, misrepresentation, and failure to supervise.
With offices in Seattle, Washington and Chicago, Illinois, we represent investors in all 50 states.
FAQs about D.H. Hill Securities
- What is D.H. Hill Securities’ regulatory history?
The firm has 3 regulatory actions, including sanctions from FINRA and the Texas Securities Board for supervisory and compliance failures.
- Has D.H. Hill faced recent penalties?
Yes. In 2024, the Texas Securities Board fined the firm $42,000 for failing to enforce its L-Bond concentration guidelines.
- Can I recover losses from investments with D.H. Hill?
Possibly. If your broker engaged in misconduct or sold you unsuitable investments, you may be able to recover your losses through FINRA arbitration.
Last modified: September 24, 2025
