BARRE MCLEOD BUTLER is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 174 MEETING STREET, STE 400, CHARLESTON, SC, 29401.
BARRE MCLEOD BUTLER has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since March 27, 2014
Disclosure History
BARRE MCLEOD BUTLER has 2 Disclosure Event(s).
Date: August 29, 2014 Category: Customer Dispute Allegations: TIME FRAME: MAY 2009 THROUGH SEPTEMBER 2013 CLIENT'S COUNSEL ALLEGES THAT THE CLIENT'S INSTRUCTIONS TO INVEST MONIES FROM THE MONEY MARKET ACCOUNT INTO A MANAGED ACCOUNT WERE NOT FOLLOWED AND AS A RESULT, SUFFERED LOST OPPORTUNITY OVER A 4 YEAR PERIOD. Damage Amount Requested: $50,000.00 Settlement Amount: $25,185.00
Date: May 14, 1990 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING IN SPECULATIVE MARGINACCOUNT. FC CLAIMS HE HAD STANDING ORDER BUT NO WRITTENDISCRETION. TRADE WAS UNSOLICITED. ALLEGED DAMAGES: $57,000. Damage Amount Requested: $57,000.00 Settlement Amount: $12,714.50 Broker Comment: $12,714.50 SETTLEMENT SHEARSON LEHMAN BROTHERSON BEHALF OF ROBINSON-HUMPHREY PAID TOTAL SETTLEMENTNot Provided
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