Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 1, 2017 indicate that Texas-based National Securities Corporation broker/advisers Harry Hughes has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hughes (CRD# 829149).
Harry Hughes has spent 34 years in the securities industry and has been registered with National Securities Corporation in Dallas, Texas since July 2017. Previous registrations include WFG Investments in Desoto, Texas (2007-2017); Citigroup Global Markets in Dallas, Texas (1993-2007); Lehman Brothers in New York, New York (1990-1993); Eppler Guerin & Turner in Dallas, Texas (1984-1990); and American General Capital Planning (1976-1977). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with nine US states and territories: Alabama, Connecticut, Florida, Georgia, New Mexico, Oklahoma, Texas, Virginia and Wisconsin.
According to his BrokerCheck report, Harry Hughes has received one customer complaint.
In 2010 a customer alleged Harry Hughes, while employed at Citigroup Global Markets in WFG Investments, made unsuitable investment recommendations, was negligent in his supervisory duties, breached his fiduciary duty, acted negligently, and misrepresented material facts in connection to investments in CD products, government bonds, equity listed products, and mutual fund products. The complaint settled in 2011 for $30,000.
If you have complaints regarding Harry Hughes, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recover your losses. All cases are taken on a contingency basis: we only get paid if and when you collect money. The law sets a limited window to file complaints, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.