DOUGLAS CHARLES HOUTZ is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 1830 3RD AVENUE EAST, SUITE 101, KALISPELL, MT, 59901.
DOUGLAS CHARLES HOUTZ has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since November 10, 2010
Disclosure History
DOUGLAS CHARLES HOUTZ has 4 Disclosure Event(s).
Date: January 28, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGED UNSUITABILITY WITH RESPECT TO VARIABLE ANNUITY INVESTMENT - OCTOBER 2004.DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
Date: April 23, 2008 Category: Customer Dispute Allegations: CLIENTS ALLEGED THAT THE PURCHASES OF VARIABLE ANNUITIES WERE MISREPRESENTED. DAMAGES UNSPECIFIED. JAN-FEB 2007 Broker Comment: CLAIM DENIED.
Date: December 26, 2006 Category: Customer Dispute Allegations: FAILURE TO FOLLOW SELL INSTRUCTIONS TO MINIMIZE TAX LIABILITY, BREACH OF FIDUCIARY DUTY AND NEGLIGENCE DURING 7/05 THROUGH 2/06. Damage Amount Requested: $23,291.00 Settlement Amount: $9,999.00
Date: June 13, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABLE INVESTMENTS WERE RECOMMENDED TO THEM. JULY 2000 TO PRESENT. Damage Amount Requested: $20,000.00 Broker Comment: CLAIM DENIED.
More Information
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