HAROLD JAY MEYERS is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 2121 AVENUE OF THE STARS (FOX PLAZA), SUITE 2100, LOS ANGELES, CA, 90024.
HAROLD JAY MEYERS has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since July 14, 2009
Disclosure History
HAROLD JAY MEYERS has 8 Disclosure Event(s).
Date: January 11, 2017 Category: Customer Dispute Allegations: Claimants allege breach of fiduciary duty; breach of written contract; fraud by misrepresentation and omission; and violation of state and federal securities law, FINRA Rules of Fair Practice and NYSE Rules. Damage Amount Requested: $281,134.00
Date: July 18, 2016 Category: Customer Dispute Allegations: Clients allege registered representative invested a significant portion of clients' savings in highly risky, concentrated energy positions. 1/23/15 through 4/9/15
Date: October 05, 2015 Category: Customer Dispute Allegations: Claimants allege breach of fiduciary duty, breach of written contract, fraud by misrepresentation and omission, financial abuse, violation of state and federal securities laws and FINRA rules of Fair Practice and NYSE Rules. Damage Amount Requested: $677,317.00 Broker Comment: The Panel assessed 100% of the hearing fees charged to Claimants.
Date: September 16, 1998 Category: Customer Dispute Allegations: I WAS ACCUSED OF FAILURE TO SUPERVISE AND WASNAMED AS A RESPONDENT IN MY CAPACITY AS A CONTROLLING PERSONAND PRINCIPAL Settlement Amount: $47,000.00 Broker Comment: SETTLED - $47,000.00I WAS NEVER THE SUPERVISOR OF THIS BROKER. THESEALLEGATIONS AGAINST ME ARE FALSE. I DO NOT KNOW THE CUSTOMER ANDNEVER SPOKE TO THEM, NEVER THE LESS I AGREED TO THE SETTLEMENTIN ORDER TO AVOID SIGNIFICANT ATTORNEY FEES AND COSTS AND MYCONCERN ABOUT THE FACT THAT THE ARBITRATION WAS TO TAKE PLACEIN FLORIDA WHERE I DO NOT RESIDE. I WAS NEVER THE SUPERVIOSROF THIS BROKER OR THE OFFICE IN WHICH HE WORKED I WAS NAMED ASA CONTROL PERSON OF THE FIRM WHEN I WAS WITH H.J. MEYERS & CO.
Date: March 22, 1996 Category: Customer Dispute Allegations: I DO NOT KNOW BECAUSE I`VE NOT SEEN A COPY OFTHE STATEMENT OF CLAIM FILED WITH NASD HOWEVER IF THE CLAIM ISAS FILED IN STATE COURT THERE ARE NO ALLEGATIONS AGAINST MEOTHER THAN IN MY CAPACITY AS PRINCIPAL. IN OTHER WORDS CUSTOMER WAS NEVER MY CLIENT AND I NEVER SPOKE TOTHEM. Damage Amount Requested: $47,856.02 Settlement Amount: $47,948.98 Broker Comment: THE CASE WAS SETTLED FOR $47948.98 BUT I, H.J.MEYERS WAS NOT PART OF THE SETTLEMENT OR FINED OR CHARGED INANY CAPACITY.NOT PROVIDED
Date: July 25, 1995 Category: Customer Dispute Allegations: BREACH OF CONTRACT 900000 FAILURE TO DISCLOSEFIN. INFO (ILLEGIBLE) CASE HAS BEEN SETTLED WITH NO PAYMENT DUE OF HAROLD J. MEYERS. Damage Amount Requested: $900,000.00 Broker Comment: HAROLD J. MEYERS WAS NOT INCLUDED IN SETTLEMENTPAYMENT.Not Provided
Date: August 04, 1994 Category: Regulatory Initiated By: WEST VIRGINIA SECURITIES DIVISION Allegations: THE RESPONDENTS HAVE VIOLATED THE PROVISIONSOF THE ACT: UNREGISTERED BROKER/DEALER & AGENT,OFFERING &SELLING SECURITIES IN THIS STATE. Resolution: Consent SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: CEASE & DESIST ORDER FINAL Broker Comment: Not Provided
Date: April 30, 1986 Category: Regulatory
More Information
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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.
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