ANGELA KAY SUGIMURA is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 25220 HANCOCK AVE, SUITE 100, MURRIETA, CA, 92562.
ANGELA KAY SUGIMURA has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since November 13, 2008
Disclosure History
ANGELA KAY SUGIMURA has 1 Disclosure Event(s).
Date: November 02, 2004 Category: Customer Dispute Allegations: ALLEGED INAPPROPRIATE INVESTMENT IN A VARIABLE ANNUITY. DAMAGES WERE NOT SPECIFIED BUT APPEARED TO BE IN EXCESS OF $5,000. Broker Comment: I DENY THE CLIENT'S ALLEGATIONS. MANY MEETINGS WERE HELD WITH THE CLIENT AND HER SON PRIOR TO HER CHOOSING HER INVESTMENTS. ALL TRANSACTIONS WERE AUTHORIZED. THE REFERENCE BY THE CLIENT OF UNAUTHORIZED TRANSACTIONS ACTUALLY RELATES TO THE AUTOMATIC REBALANCING OF THE PORTFOLIO AND THE AUTOMATIC SALES FOR HER SYSTEMATIC WITHDRAWAL PROGRAM - WHICH WERE AUTHORIZED BY CLIENT ON 1/23/04.
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