FREDRIC MICHAEL LEOPOLD is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 875 HARMON STREAM BLVD, SUITE 200, BOZEMAN, MT, 59718.
FREDRIC MICHAEL LEOPOLD has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since July 10, 2007
Disclosure History
FREDRIC MICHAEL LEOPOLD has 1 Disclosure Event(s).
Date: July 30, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGED, THROUGH HIS ATTORNEYS, THAT GRUNTAL & CO., L.L.C. ACCOUNT EXECUTIVE FREDERIC LEOPOLD SOLD 14,600 SHARES OF MARKET GUIDE STOCK IN HIS ACCOUNT ON 4/21/98, WITHOUT HIS EXPRESS AUTHORIZATION. CLIENT ASSERTED CLAIMS OF BREACH OF THIRD PARTY BENEFICIARY CONTRACT, VIOLATION OF NASD RULES, BREACH OF IMPLIED COVENANT, NEGLIGENCE AND BREACH OF FIDUCIARY DUTY. CLIENT ALLEGED THAT HE SUSTAINED DAMAGES IN EXCESS OF $65,000. Damage Amount Requested: $65,000.00 Broker Comment: GRUNTAL & CO.,L.L.C. INVESTIGATED THE CLIENT'S ALLEGATIONS AND DETERMINED THAT THEY WERE WITHOUT MERIT.
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