DOUGLAS MITCHEL PATTON

DOUGLAS MITCHEL PATTON is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 25 WEST CEDAR STREET, PENSACOLA, FL, 32502.

DOUGLAS MITCHEL PATTON has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since March 02, 2012

Disclosure History

DOUGLAS MITCHEL PATTON has 2 Disclosure Event(s).

Date: July 17, 2009
Category: Customer Dispute
Allegations: CLAIM ALLEGES MISREPRESENTATION AND UNSUITABILITY WITH REGARD TO MUTUAL FUNDS PURCHASED IN 2007.
Damage Amount Requested: $439,974.00
Settlement Amount: $220,000.00

Date: July 06, 2009
Category: Customer Dispute
Allegations: CLAIM ALLEGES MISREPRESENTATION AND UNSUITABILITY WITH REGARD TO MUTUAL FUNDS PURCHASED IN 2007.
Damage Amount Requested: $337,000.00
Settlement Amount: $74,000.00

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.

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