JAMES K NISSAN is currently employed as a Broker and/or Investment Adviser at LADENBURG THALMANN & CO. INC. located at 277 Park Ave, 26th Floor, New York, NY, 10172.
JAMES K NISSAN has worked at LADENBURG THALMANN & CO. INC. since April 02, 1974
Disclosure History
JAMES K NISSAN has 3 Disclosure Event(s).
Date: October 29, 1991 Category: Customer Dispute Allegations: CUSTOMER CLAIMS FAILURE TO ENTER ORDERS UPONINSTRUCTIONS WITH WAS DENIED. Settlement Amount: $30,000.00 Broker Comment: CUSTOMER WAS PAID BY RESPONDENT LADENBURGTHALMANN $30,000 REPRESENTING ECONOMIC VALUE OF DEFENSE WITHOUTADMITTING OR DENYING THE ALLEGATIONS. MR. NISSAN'S PRO-RATASHARE IN SUCH SETTLEMENT WAS 40%.Not Provided
Date: August 14, 1987 Category: Customer Dispute Allegations: BASICALLY ALLEGATIONS OF POOR RECOMMENDATIONOF STOCK. Broker Comment: MATTER WAS SETTLED WITH AN UNDERSTANDING THATTHE AMOUNT PAID REPRESENTED EXPENSES OF DEFENSE AND NOT ANADMISSION OF LIABILITY. ADDITIONALLY, A DISTRICT COURTPROTECTIVE ORDER WAS OBTAINED TO INSURE CONFIDENTIALITY OFTERMS.Not Provided
Date: July 31, 1962 Category: Regulatory
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