Charles Stephen Holt (CRD#1943440)

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Charles Stephen Holt (CRD#1943440) regarding allegations made regarding the following:

Claim(s) Made Against Charles Stephen Holt:

Claim Date: 3/16/2020

“Charles Holt was named in a customer complaint that asserted the following causes of action: Breach of fiduciary duty, failure to supervise, unsuitability, misrepresentations, failure to conduct a proper due diligence, and violation of FINRA Rules 2010 and 2310.”

This claim, as of this posting, is currently Pending with a claim amount of $100,001.00 .

See more information on FINRA’s BrokerCheck site for Charles Stephen Holt.

Did you have problems with Charles Stephen Holt?

We are currently considering bringing claims on behalf of individual investors or groups of investors who have lost funds. Many customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Charles Stephen Holt and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.

If you are a former client of Charles Stephen Holt, and have encountered any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. want to speak with you about the possibility of pursuing a claim. Brokerage firms have a duty to oversee all of their registered representatives, including Charles Stephen Holt, and ensure that they follow all securities regulations, rules, and internal policies. If a brokerage firm fails in this duty, it may be held accountable for investment losses sustained by customers due to a lack of supervision.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at to see if he can help recover your funds.