STEPHEN LEWIS HILLER is currently employed as a Broker and/or Investment Adviser at SAGEPOINT FINANCIAL, INC. located at 4 EVERETT STREET, TUCKAHOE, NY, 10707.
STEPHEN LEWIS HILLER has worked at SAGEPOINT FINANCIAL, INC. since October 31, 2008
Disclosure History
STEPHEN LEWIS HILLER has 2 Disclosure Event(s).
Date: March 12, 2010 Category: Customer Dispute Allegations: CUSTOMER CLAIMS THAT HIS DEFINED CONTRIBUTION PENSION PLAN INVESTMENTS WERE UNSUITABLE IN THAT (1) REP PUT HIS MONIES IN "B" SHARES AND HE WAS NOT AFFORDED THE RIGHTS OF ACCUMULATION OF "A" SHARES AND (2) CONTAINED A VARIABLE ANNUITY WHICH WAS NOT APPROPRIATE IN A TAX DEFERRED PLAN. Damage Amount Requested: $58,216.00 Settlement Amount: $14,500.00 10-00057
Date: June 07, 2002 Category: Customer Dispute Allegations: [CUSTOMER] ALLEGES SOME OF THE MUTUAL FUNDS HE BOUGHT WERE UNSUITABLE. I HAD MANY VISITS WITH HIM DISCUSSING MY RECOMMENDATIONS AND THERE WAS AT LEAST 3 MONTHS BEFORE INVESTMENTS WERE MADE. Damage Amount Requested: $128,000.00 Settlement Amount: $35,000.00
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