D.H. Hill Securities LLLP

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/03/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040082301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: D.H. Hill Securities, LLLP, Respondent Member Firm CRD No. 41528 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent D.H. Hill Securities, LLLP submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2014040082301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063187001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: D.H. Hill Securities, LLLP (Respondent) Member Firm CRD No. 41528 Pursuant to FINRA Rule 9216, Respondent D.H. Hill Securities, LLLP (Respondent or D.H. Hill) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
Reference 2019063187001data-portal.finra.org finra.org

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