Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 17, 2018 indicate that Florida-based DH Hill broker/adviser Charles Stevens has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stevens (CRD# 1698058).
Charles Stevens has spent 30 years in the securities industry and has been registered with DH Hill Securities in St. Augustine, Florida since 2006. Previous registrations include NYLife Securities in St. Augustine, Florida (1987-2006) and Eagle Strategies Corporation (1995-1996). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 21, 1989, and Series 7 (General Securities Representative Examination), which he obtained on June 20, 1987. He is a registered broker and investment adviser with seven US states: Florida, Indiana, Massachusetts, New Mexico, New York, North Carolina, and Texas.
According to his BrokerCheck report, he has received two customer complaints, one denied customer complaint, and one closed customer complaint.
In December 2017 a customer alleged Charles Stevens, while employed at DH Hill Securities, made unsuitable investment recommendations, breached his fiduciary duty, acted negligently, failed in his supervisory duties, and breached contract. The customer is seeking $150,000 in damages in the pending complaint.
In August 2017 a customer alleged Charles Stevens, while employed at DH Hill Securities, made unsuitable investment recommendations, acted negligently, breached contract, and breached his fiduciary duty. The customer is seeking unspecified damages in the pending complaint.
In 2006 a customer alleged Charles Stevens, while employed at NYLife Securities, advised him that certain variable life insurance policies would be liquid and self-funded based on the original $12,000 invested in each. The customer sought $24,000 in damages in the complaint, which was denied.
In 2003 a customer alleged he, while employed at NYLife Securities, did not adequately disclose the features of an annuity and did not honor her request to cancel an annuity. The customer sought $50,000 in damages in the complaint, which was closed.
If you have lost money investing with Charles Stevens, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.