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Investor Alleges Steven Hill Failed to Follow Liquidation Instructions

Nov 14, 2022 Investor Disputes

Steven Hill (CRD #: 4906970), a broker registered with Securities America, allegedly failed to follow instructions, according to his BrokerCheck record, accessed on November 4, 2022. Keep reading to learn more about Steven Hill’s conduct as a broker.

Investor Dispute

On September 15, 2022, an investor alleged that Steven Hill failed to follow their liquidation instructions, resulting in a loss. This dispute is pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violate this rule. 

Background Information

Steven Hill has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Steven Hill is a registered broker in 14 states and a registered investment adviser in Missouri and Texas.

He has also worked for National Planning Corporation (CRD#:29604) and American General Securities (CRD#:13626).

Kurta Law Can Help

If you worked with Steven Hill and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.