HENRY CLAY MILLER

HENRY CLAY MILLER is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 501 CHERRY STREET SUITE 101, COLUMBIA, MO, 65201.

HENRY CLAY MILLER has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since September 15, 2008

Disclosure History

HENRY CLAY MILLER has 1 Disclosure Event(s).

Date: March 11, 1996
Category: Customer Dispute
Allegations: ALLEGED DISCRETIONARY AND UNSUITABLE ACCOUNTACTIVITY IN TREASURY BONDS DURING THE PERIOD 1988-1994RESULTING IN LOSSES OF $486,000. THE CLAIM IS ALSO BROUGHTAGAINST SOUTHWEST SECURITIES, INC.
Damage Amount Requested: $486,000.00
Settlement Amount: $15,000.99
Broker Comment: MS. MCQUIDDY ACCEPTED THE AMOUNT OF $15,000.99FROM MR. MILLER IN SETTLEMENT, WHICH WAS THE SAME AMOUNT AS THERETAINER FEE REQUESTED BY MR. MILLER`S ATTORNEY TO PREPARE ANDFILE A RESPONSE IN THIS MATTER. THEREFORE, MS. MCQUIDDYACCEPTED IN SETTLEMENT FROM MR. MILLER AN AMOUNT LESS THAN EVENA FRACTION OF THE COST OF DEFENSE OF SUCH A PROCEEDING HAD MS.MCQUIDDY CHOSEN TO PURSUE IT.Not Provided

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