BOYD JULIUS KINLER is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 639 LOYOLA AVENUE, SUITE 200, NEW ORLEANS, LA, 70113.
BOYD JULIUS KINLER has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since July 07, 2015
Disclosure History
BOYD JULIUS KINLER has 7 Disclosure Event(s).
Date: September 20, 2011 Category: Customer Dispute Allegations: WRITTEN COMPLAINT DATED SEPTEMBER 12, 2011, ALLEGES UNAUTHORIZED TRADING AND FAILURE TO FOLLOW INSTRUCTIONS, CLAIMING POSITIONS WERE PURCHASED AND SOLD WITHOUT THE CLIENT'S EXPRESSED CONSENT AND POSITIONS WERE LIQUIDATED THAT CLIENT INSTRUCTED THE FA NOT TO SELL. TRANSACTIONS WERE DONE IN MARCH OF 2011. Broker Comment: REP DENIES THE ALLEGATIONS IN THE COMPLAINT.
Date: April 14, 2011 Category: Employment Separation After Allegations Firm Name: MORGAN KEEGAN & COMPANY, INC. Termination Type: Discharged Allegations: UNAUTHORIZED TRADING Broker Comment: MISCOMMUNICATION WITH CLIENT. NO CLIENT COMPLAINT INVOLVED. MORGAN KEEGAN AND CLIENT LET TRADE STAND.
Date: February 25, 2010 Category: Customer Dispute Allegations: WRITTEN COMPLAINT FROM CLIENT, DATED 2/22/10, ALLEGES FAILURE TO FOLLOW INSTRUCTIONS WITH REGARD TO A REQUEST TO MOVE HIS FUNDS TO A LIQUID ACCOUNT. CLIENT STATES THE REQUEST TOOK PLACE DURING A PHONE CONVERSATION ON 03/18/08.
Date: September 15, 2009 Category: Customer Dispute Allegations: CLAIM ALLEGES MISREPRESENTATION AND UNSUITABILITY WITH REGARD TO MUTUAL FUNDS PURCHASED BETWEEN 2004 AND 2007. Damage Amount Requested: $185,000.00 Settlement Amount: $59,000.00
Date: July 06, 2009 Category: Customer Dispute Allegations: CLAIM ALLEGES UNAUTHORIZED TRADING, MISREPRESENTATION AND UNSUITABILITY WITH REGARD TO MUTUAL FUNDS PURCHASED BETWEEN 2/05 AND 12/07. Damage Amount Requested: $197,000.00 Settlement Amount: $75,000.00
Date: October 22, 2003 Category: Customer Dispute Allegations: CLAIM ALLEGES MISREPRESENTATION Damage Amount Requested: $10,000.00 Broker Comment: AS OF OCTOBER 24,2005, THIS ITEM IS NO LONGER REPOTABLE
Date: July 12, 2003 Category: Customer Dispute Allegations: CLAIM ALLEGES POOR PERFORMANCE WITH REGARD TO ANNUITY INVESTMENT. Damage Amount Requested: $100,000.00 Broker Comment: AS OF JULY 12, 2005 THIS ITEM IS NO LONGER REPORTABLE.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for BOYD JULIUS KINLER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.