ERIN A DANIELS is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 7033 E. GREENWAY PARKWAY, SUITE 100, SCOTTSDALE, AZ, 85254.
ERIN A DANIELS has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since March 27, 2018
Disclosure History
ERIN A DANIELS has 2 Disclosure Event(s).
Date: March 01, 2018 Category: Employment Separation After Allegations Firm Name: BMO HARRIS FINANCIAL ADVISORS, INC. Termination Type: Discharged Allegations: Registered Rep was terminated following an internal review finding that she had engaged in conduct inconsistent with firm policies and/or industry rules relating to the proper handling of customer information, the timely reporting of matters disclosable on a Form U4, and the appropriate entry of transaction information into firm systems. Broker Comment: Non-sales practice related.
Date: August 16, 2013 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT THE REGISTERED REPRESENTATIVE WAS SUPPOSED TO MOVE ASSETS FROM THE FIXED INCOME MANAGED ACCOUNT TO CASH IF/WHEN INTEREST RATES STARTED TO RISE. CLIENTS INITIALLY FILED A COMPLAINT REQUESTING THE RETURN OF MANAGEMENT FEES WHICH AMOUNTED TO $3000. CLIENTS SENT A SUBSEQUENT COMPLAINT ALLEGING DAMAGES OF $21,000. BHFA COMPLETED THE REVIEW OF THE CLAIMAINT'S COMPLAINT. IN THE INTEREST OF GOOD CUSTOMER RELATIONS AND TO AVOID TIME AND EXPENSE OF CUSTOMER DISPUTE THE MATTER WAS SETTLED. Damage Amount Requested: $21,673.14 Settlement Amount: $9,800.00 Broker Comment: BHFA COMPLETED THE REVIEW OF THE CLAIMAINT'S COMPLAINT. IN THE INTEREST OF GOOD CUSTOMER RELATIONS AND TO AVOID TIME AND EXPENSE OF CUSTOMER DISPUTE THE MATTER WAS SETTLED
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.
To view the full report for ERIN A DANIELS, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.