DAVID GOLDMAN is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 1095 AVENUE OF THE AMERICAS, 3RD & 4TH FLOORS, NEW YORK, NY, 10036.
DAVID GOLDMAN has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since August 21, 2007
Disclosure History
DAVID GOLDMAN has 1 Disclosure Event(s).
Date: October 03, 1997 Category: Customer Dispute Allegations: ACCOUNT RELATED-BREACH OF CONTRACT;EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED - FAILURE TOSUPERVISE; BREACH OF FIDUCIARY DUTY Damage Amount Requested: $81,000.00 Broker Comment: IN OCTOBER, 1999, WITHOUT ADMITTING ANY LIABILITY, GRUNTAL AND GOLDMAN AGREED TO PAY CLAIMANTS $1,000 IN FULL AND FINAL SETTLEMENT OF THEIR CLAIM. A SETTLEMENT AGREEMENT AND RELEASE WAS SENT TO CLAIMANTS FOR THEIR SIGNATURE ON OR ABOUT OCTOBER 14, 1999. CLAIMANTS NEVER RETURNED A SIGNED AGREEMENT AND ABANDONED THEIR CLAIM.
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