FINRA barred securities broker Norman Lynn Hill [CRD: 1535969, Wellesley, Massachusetts], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hill worked for Ameriprise Financial Services LLC from March 8, 2024, to October 13, 2025, and previously worked for Citizens Securities Inc. from January 25, 2007, to January 29, 2024. See below to find out more about the regulatory disclosure involving Hill.
FINRA Sanctioned Hill For Alleged Failure To Cooperate During Investigation
Specifically, on May 14, 2026, FINRA issued Case No. 2026089178101 sanctioning Norman Hill. Specifically, Hill consented to a bar from associating with any FINRA member firm in all capacities. Notably, FINRA alleged that Hill failed to provide documents and information requested during a regulatory investigation, resulting in alleged violations of FINRA Rules 8210 and 2010.
Inquiry Into Normal Hill Stemmed From Ameriprise’s Termination Filing
According to the disclosure, FINRA's investigation arose from its review of a Form U5 filed by Ameriprise Financial Services LLC. The firm’s termination filing reportedly followed an internal review in which the firm determined that Hill had violated company policy. During its investigation, FINRA requested records and information from Hill according to Rule 8210.
FINRA alleged that Hill received the request and informed staff that he would not provide the requested materials. Rule 8210 authorizes FINRA to obtain information and documents from securities brokers during examinations and investigations. As a result of the alleged refusal to cooperate, FINRA contended that Hill violated both Rule 8210 and Rule 2010, which requires securities brokers to maintain high ethical standards.
Hill resolved the matter through a Letter of Acceptance, Waiver, and Consent without admitting or denying FINRA's findings. Under the settlement, he accepted a permanent industry bar.
Did You Invest Through Financial Advisor / Securities Broker Hill?
Do you have questions or concerns regarding investments you made with Norman Hill? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the US. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Hill and brokerage firms Hill worked for deny allegations of sales practice violations.
