Charles Thomas Stevens, Formerly of D.H. Hill Securities, Facing Customer Dispute Seeking $100K in Damages

Stevens is accused of common law fraud, breach of fiduciary duty, negligence, and breach of contract.

The Sonn Law Group is investigating allegations that Charles Thomas Stevens committed misconduct. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.

Charles Thomas Stevens (CRD#:1698058) was registered as a broker D.H. Hill Securities from 2006 until 2020. Previously, Stevens was registered as a broker with NYLife Securities from 1987 until 2006.

Stevens has eleven disclosures on his BrokerCheck report.

December 2020 Regulatory Judgment

• Status: Pending
• Initiated By: FINRA
• Allegations: Stevens was named a respondent in a FINRA complaint alleging that he willfully failed to amend his Form U4 to disclose, or to timely amend his Form U4 to disclose, unsatisfied federal tax liens. The complaint alleges that Stevens also willfully failed to disclose an unsatisfied judgement against him in the amount of $634,387.65. The complaint also alleges that Stevens made false statements to his member firm regarding his tax liens and judgement in annual certifications. The complaint further alleges that Stevens failed to appear and provide on-the-record testimony requested by FINRA in connection with its investigation of his failure to timely update his Form U4.

July 2019 Customer Dispute

• Status: Pending
• Allegations: Investments made Sept 2016, allegations include common law fraud, breach of fiduciary duty, negligence, and breach of contract.
• Damage Amount Requested: $100,000.00

December 2017 Customer Dispute

• Status: Settled
• Allegations: Claimant alleges unsuitable recommendations, breach of fiduciary duty, negligence, failure to supervise and breach of contract during period of 2012 to 2017.
• Damage Amount Requested: $150,000.00
• Settlement Amount: $30,000.00

August 2017 Customer Dispute

• Status: Settled
• Allegations: Alleges unsuitable recommendations, breach of fiduciary duty, negligence, and breach of contract, beginning in early 2009.
• Settlement Amount: $35,000.00

March 2017 Judgment / Lien

• Judgment/Lien Amount: $202,431.00
• Judgment/Lien Type: Tax

August 2016 Judgment / Lien

• Judgment/Lien Amount: $170,955.20
• Judgment/Lien Type: Tax

April 2015 Judgment / Lien

• Judgment/Lien Amount: $74,768.51
• Judgment/Lien Type: Tax

January 2015 Judgment / Lien

• Judgment/Lien Amount: $25,662.77
• Judgment/Lien Type: Tax

January 2009 Judgment / Lien

• Judgment/Lien Amount: $96,045.07
• Judgment/Lien Type: Tax
• Broker Comment: Judgment/Lien Outstanding changed from No to Yes as Lien was re-filed by IRS.

Contact Us Today

The Sonn Law Group is currently investigating allegations that Charles Thomas Stevens committed misconduct. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.