STEPHEN LEWIS HILLER

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

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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