Have you lost money investing in variable annuities through D.H. Hill Securities?  We are currently investigating allegations made against D.H. Hill Securities, a Kingwood, Texas-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against D.H. Hill Securities, making allegations that it sold eight private placement offerings claiming an exemption under Rule 506(b) of Regulation D, but that it failed to have a preexisting relationship with the offerees prior to the sales.

Rule 506(b) allows issuers a safe harbor from registration if certain requirements are met.  FINRA alleged that D.H. Hill failed to meet those requirements to claim the safe harbor.  To settle these allegations, D.H. Hill Securities agreed to pay a $25,000 fine.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including Texas.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View D.H. Hill BrokerCheck Report

If your advisor recommended investments in private placements that caused you losses, through D.H. Hill Securities or another firm, please CONTACT ISRAELS & NEUMAN at 720-599-3505 for a free evaluation of your case.