ELDON CHARLES MILLER

ELDON CHARLES MILLER is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 60 SOUTH SIXTH STREET, SUITE 3000, MINNEAPOLIS, MN, 55402.

ELDON CHARLES MILLER has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since December 06, 2006

Disclosure History

ELDON CHARLES MILLER has 4 Disclosure Event(s).

Date: April 01, 2002
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES BREACH OF FIDUCIARY DUTIES, NEGLIGENCE, FRAUD, STATE AND FEDERAL SECURITIES FRAUD, NEGLIGENT MISREPRESENTATION, VIOLATION OF MN CONSUMER FRAUD ACT, VIOLATION OF MN UNLAWFUL TRADE PRACTICES ACT, VIOLATION OF MN DECEPTIVE TRADE PRACTICES ACT, RESPONDEAT SUPERIOR IN CONNECTION WITH THE SALE OF COMMERCIAL PAPER IN JULY AND AUGUST 2001.
Damage Amount Requested: $400,000.00
Settlement Amount: $100,000.00

Date: December 21, 2001
Category: Customer Dispute
Allegations: [CUSTOMER] ALLEGES MISREPRESENTATION AND FRAUD AND VIOLATIONS OF RELEVANT SECURITIES ACTS AND REGULSATION, BREACH OF CONTRACT, BREACH OF COVENANT OF GOOD FAITH AND FAIR DEALING IN CONJUNCTION WITH MARKETING OF COMMERCIAL PAPER AND OTHER MANAGEMENT ISSUES RELATED TO SIPC LIQUIDATION OF SEPTEMBER 2001.
Damage Amount Requested: $1,000,000.00
Settlement Amount: $81,400.00

Date: January 18, 2001
Category: Customer Dispute
Allegations: ALLEGES FAILURE TO SUPERVISE
Damage Amount Requested: $4,500,000.00
Settlement Amount: $45,000.00
Broker Comment: THIS MATTER HAS BEEN COMPLETELY RESOLVED WITH NO ADMISSION OR FINDING OF LIABILITY, AND NO PAYMENT ON MY PART. I AND TWO OTHER PRINCIPALS OF THE FIRM WERE NAMED IN THIS ARBITRATION FOR FAILURE TO SUPERVISE. I HAD NOTHING TO DO WITH THE INVESTMENT DECISIONS MADE FOR THESE CLIENTS AND HAD NO DUTY TO SUPERVISE THE ACTIVITES ON WHICH THIS CLAIM WAS BASED. THE REPRESENTATIVE WHO HANDLED THIS ACCOUNT HAS ASSUMED RESPONSIBILITY FOR THE ENTIRE SETTLEMENT.

Date: October 05, 1992
Category: Regulatory

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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