Last Updated: February 2025, Cornelius, NC
Here’s what you need to know about Cornelius, NC, former stockbroker Bryce A. Hamilton:
- Name: Mr. Bryce Austin Hamilton
- CRD Number: 4296113
- Current Status: Not currently registered
- Prior Employers:
- LPL Financial LLC (July 2024 – October 2024)
- CliftonLarsonAllen Wealth Advisors, LLC (November 2023 – May 2024)
- Kingswood Capital Partners, LLC (November 2021 – October 2023)
- Function: Stockbroker / Financial Advisor
- DBA: Highly Appreciated Capital
- Primary Location: Cornelius, NC
- Can Bryce Hamilton be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: No
- Employment Separation after Allegations: Yes
- Outstanding Liens: Yes
- Pending Customer Dispute Seeks Damages of: $300,000
If you’ve sustained damages from Mr. Hamilton, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Bryce Hamilton As Your Stockbroker?
A customer dispute involving Bryce Hamilton was filed on July 30, 2024 (Case #24-00488) in FINRA arbitration. The customer alleges that Mr. Hamilton recommended unsuitable investments in private placements in 2021, resulting in significant losses. The alleged damages total $300,000.00, and the matter is currently pending.
Private Placements under Reg D: What is a Private Placement? According to the U.S. Securities and Exchange Commission (SEC):
“Under the federal securities laws, a company may not offer or sell securities unless the offering has been registered with the SEC or an exemption from registration is available. Offerings exempt from the SEC’s registration requirements pursuant to Securities Act Section 4(a)(2) or its safe harbor under Regulation D of the Securities Act are often referred to as private placements.”
The SEC warns that unregistered offerings may be utilized to conduct investment scams and that investors should have the ability to weather a total loss in these illiquid investments. See this SEC Investor Alert about red flags to watch out for in unregistered offerings.
Mr. Hamilton voluntarily resigned from LPL Financial LLC on September 27, 2024, after failing to timely notify the firm about this pending arbitration.
Allegations of Broker Misconduct Against Bryce Hamilton
Customers of Bryce Hamilton have alleged the following misconduct in connection with the handling of their accounts:
- Unsuitable Investment Recommendations: The pending 2024 customer dispute claims that private placement investments recommended by Mr. Hamilton were unsuitable for the client’s financial objectives, a violation of FINRA Rule 2111 on suitability requirements.
- Failure to Disclose Pending Arbitration: Mr. Hamilton’s resignation from LPL Financial LLC was related to his failure to timely disclose the pending customer dispute, raising concerns about transparency and compliance with FINRA Rule 2010, which governs ethical conduct.
See this for more information on REITs and Other Alternative Investments
Outstanding Judgments and Liens Against Bryce Hamilton-Sacramento County
- $18,344 Tax Lien filed on June 4, 2024, by the State of California Franchise Tax Board.
- $40,863 Tax Lien filed on March 13, 2024, State of California
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Bryce A. Hamilton, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.