DAVID LOUIS OKUN 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 LOUIS OKUN has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since August 21, 2007
Disclosure History
DAVID LOUIS OKUN has 3 Disclosure Event(s).
Date: January 22, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT REGISTERED REPRESENTATIVE IGNORED THE CLIENT'S REQUEST TO SELL STOCKS AND BUY BONDS. ACTIVITY PERIOD: 01/26/2006-11/18/2008. Damage Amount Requested: $800,000.00
Date: February 08, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGED FAILURE TO EXERCISE ORDINARYCAUTION AND PRUDENCE IN THE MANAGEMENT OF HIS ACCOUNT, ANDSPECIFICALLY WITH REGARD TO PURCHASES IN TRITON ENERGY,CHESAPEAKE ENERGY AND HARKEN ENERGY CORP. CLIENT ALSO ALLEGEDBREACH OF FIDUCIARY DUTY. DAMAGES WERE UNSPECIFIED AND GRUNTAL& CO., L.L.C. HAS NOT DETERMINED THAT THE ALLEGED DAMAGES ARELESS THAN $5,000. Broker Comment: GRUNTAL & CO., L.L.C. DETERMINED THAT THECLIENT'S ALLEGATIONS WERE WITHOUT MERIT AND DENIED THE CLIENT'SCLAIM.NOT PROVIDED.
Date: June 22, 1998 Category: Customer Dispute Allegations: THE SON-IN-LAW OF THE CLIENT ALLEGED THAT THECLIENT`S ACCOUNT WAS ``OVERMANAGED`` RESULTING IN EXCESSIVECOMMISSION CHARGES. THE CLIENT`S SON-IN-LAW CLAIMED THATCOMMISSIONS EXCEEDED $13,000 IN ADDITION TO A $10,000MANAGEMENT FEE. Broker Comment: GRUNTAL & CO., L.L.C. INVESTIGATED THE CLIENT`SALLEGATION AND DETERMINED THAT IT WAS WITHOUT MERIT.NOT PROVIDED
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