Were you the victim of investment losses due to recommendations by D.H. Hill Securities, LLC broker Leslie Kern (CRD# 1140180)? He has been registered with D.H. Hill Securities, LLC in Wilmington, North Carolina, since 2016. Previously, he was registered with Les H. Kern in Wilmington, North Carolina, from 2010 to 2016.
Leslie Kern Customer Complaints
He has been the subject of four customer complaints between 2003 and 2023, according to his CRD report. The most recent complaints were regarding:
May 2023. “Claimant has been a client of representative since 2016 and have invested in multiple products since that time, however claim is only for one product. Claimant alleges misrepresentation, unsuitable recommendation, and inadequate due diligence.” The customer is seeking $50,000 in damages, and the case is currently pending. The complaint was regarding debt-backed assets, and it took place while he was registered with D.H. Hill Securities, LLC.
February 2023. “Claimant was a client from 9/2018 to 5/2022. Claim alleges unsuitable recommendation, misrepresentation, and breach of fiduciary duty.” The customer is seeking $100,000 in damages, and the case is currently pending. The complaint was regarding debt-backed assets, and it took place while he was registered with D.H. Hill Securities, LLC.
September 2022. “Claimant has been a client since 2016. Claimant has made multiple investments during this time, but claim is only for two investments. Claimant alleges unsuitable recommendations, breach of contract, and misrepresentations.” The customer sought $34,000 in damages, and the case was settled for $7,500. The complaint was regarding debt-backed assets and real estate securities, and it took place while he was registered with D.H. Hill Securities, LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, D.H. Hill Securities, LLC may be liable for investment or other losses suffered by Leslie Kern’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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