JAMES ANTHONY STRAINER is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 1830 3RD AVENUE EAST, SUITE 101, KALISPELL, MT, 59901.
JAMES ANTHONY STRAINER has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since November 10, 2010
Disclosure History
JAMES ANTHONY STRAINER has 4 Disclosure Event(s).
Date: May 11, 1990 Category: Customer Dispute Allegations: MISREPRESENTATION AND ACCOUNT RELATED,NEGLIGENCE ALLEGED DAMAGES. $750,000.00 Damage Amount Requested: $750,000.00 Damages Granted: $35,000.00 Broker Comment: THE CLIENT WAS AWARDED $35,000.00$35,000 PAID. STRAINER DID NOT CONTRIBUTE TO THESETTLEMT. SOPHISTICATED WEALTHY BUSINEWSS WOMAN KNOWINGLYBOUGHT AND SOLD SECURITIES INCLUDING DREXEL FUNDS WHICH DROPPEDIN VALUE. I WAS THE BRANCH OFFICE MANAGER AND WAS NAMED ASCO-DEFENDANT ON AN AMENDED CLAIM AFTER DREXEL DUNHAM LAMBERTFOR BANKRUPTCY.
Date: March 26, 1990 Category: Customer Dispute Allegations: THE SMITH BARNEY CLIENT ALLEGED UNAUTHORIZEDTRANSACTIONS AND UNSUITABILITY ALLEGED DAMAGES $900,000.00 Damage Amount Requested: $900,000.00 Damages Granted: $100,000.00 Broker Comment: THE CLIENT WAS AWARDED $100,000.00 INDIVIDUALCONTRIBUTION $0.00I WAS NAMED IN MY CAPACITY OF BRANCH OFFICEMANAGER AS A CO-DEFENDANT ON AN AMENDED CLAIM AFTER DREXELLAMBERT FILED BANKRUPTCY. THE SUBJECT OF THE CLAIM WAS AREGISTERED REPRESENTATIVE IN MY OFFICE WHO MADE A $40,000CONTRIBUTION TO THE SETTLEMENT. I MADE NO CONTRIBUTION TOP THESETTLEMENT PAID BY DREXEL BURNAM LAMBERT AND SMITH BARNEY.
Date: March 01, 1988 Category: Customer Dispute Allegations: UNAUTHORIZED TRANSACTIONS AND UNSUITABILITYALLEGED DAMAGES $140,000 Damage Amount Requested: $140,000.00 Damages Granted: $46,750.00 Broker Comment: CLIENT WAS AWARDED $46,750.00 INDIVIDUALCONTRIBUTION $0.00I WAS NAMED IN MY CAPACITY OF BRANCH OFFICEMANAGER. THE SUBJECT OF THE CLAIM WAS A REGISTEREDREPRESENTATIVE IN MYM OFFICE. THIS WAS A CRASH-RELATEDCOMPLAINT. THIS NOTE ISPARTICULARY TO CLARIFY THE CASE NO. AS 88-00942 AND NOT88-00842.
Date: February 28, 1973 Category: Customer Dispute Allegations: CLIENT INVESTED IN A RISK ABITRAGE, WHITE MOTORS AND WHITE CONSOLIDATED MERGER IN 1972, TRANSACTION DIDN'T HAPPEN DEAL CALLED OFF. CLIENT LOST MONEY SAID WE SHOULD HAVE KNOWN DEAL WASN'T GOING TO HAPPEN WANTED HIS MONEY BACK HE LOST. Damage Amount Requested: $80,000.00 Settlement Amount: $30,000.00 Broker Comment: SETTLED FOR $30,000.00
More Information
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