GAIL REGINA HILL is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 1405 CENTRAL AVE S, KENT, WA, 98032.
GAIL REGINA HILL has worked at AXA ADVISORS, LLC since June 01, 1987
Disclosure History
GAIL REGINA HILL has 2 Disclosure Event(s).
Date: July 31, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT HE WAS TOLD HIS 1992 VARIABLE LIFE INSURANCE POLICY WOULD SUSTAIN INTEREST GROWTH ON THE INVESTED PRINCIPLE TO COVER FUTURE INVESTING REQUIREMENTS. DAMAGES UNSPECIFIED. Broker Comment: THE FIRM FOUND NO BASIS TO THE CUSTOMER COMPLAINT.
Date: July 27, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE HAS TWO FUNDS IN HER INVESTMENT ACCOUNT WHICH WERE REPRESENTED AND SOLD TO HER ON 11/23/07 AS A LIQUID MONEY FUND THAT WOULD TURN AND BE AVAILABLE EVERY 7 DAYS. CLIENT IS REQUESTING THE FIRM TO INVESTIGATE THIS MATTER. DAMAGES UNSPECIFIED. Broker Comment: "I" ASKED MY CLIENT TO WRITE A LETTER TO FORWARD TO OUR BROKERAGE FIRM, REQUESTING ACCESS TO HER FROZEN ASSETS BECAUSE OF FINANCIAL HARDSHIP. SHE HAS RETIRED AND NEEDS INCOME FROM HER ASSETS TO LIVE ON. SHE OWNS BLACKROCK AND NUVEEN AUCTION RATE SECURITIES, WHICH SHE PURCHASED BECAUSE THEY HAD 7 DAY MATURITIES, BUT THEY HAVE NOW BEEN FROZEN SINCE FEBRUARY 14, 2008. SHE STATES THAT "GAIL HILL HAS KEPT ME UPDATED AND WE HAVE A VERY GOOD WORKING RELATIONSHIP." THE PURPOSE OF HER LETTER IS TO APPEAL TO OUR FIRM TO MAKE HER FUNDS AVAILABLE BECAUSE OF FINANCIAL NECESSITY. ALTHOUGH THE FIRM FOUND NO BASIS TO THE CLIENT'S ISSUE WITH REGARDS TO THE REGISTERED REPRESENTATIVE, IN THE INTEREST OF GOOD CLIENT RELATIONS AND IN ORDER TO SATISFY THE CLIENT'S LIQUIDITY AND DISTRIBUTION NEEDS, THE FIRM AGREED TO ACQUIRE THE CLIENT'S POSITION AT HER ORIGINAL PURCHASE PRICE. THIS CORRECTIVE ACTION DID NOT RESULT IN ANY LOSS TO THE FIRM.
More Information
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