JANET WILLIS BEVAN is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 903 SE OCEAN BLVD., STUART, FL, 34994.
JANET WILLIS BEVAN has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since January 10, 2013
JANET WILLIS BEVAN has 3 Disclosure Event(s).
Date: December 01, 2011 Category: Financial Type: Compromise Disposition: SETTLED
Date: April 24, 2003 Category: Customer Dispute Allegations: THROUGH HER ATTORNEY, [CUSTOMER] ALLEGES MS. (BROWN) BEVAN (AND OTHER FINANCIAL ADVISORS WHO SERVICED HER ACCOUNT) RECOMMENDED AND PURCHASED UNSUITABLE STOCKS AND MUTUAL FUNDS AND UTILIZED EXCESSIVE LEVELS OF MARGIN. Damage Amount Requested: $151,000.00 Broker Comment: THE CLIENT HAS ACKNOWLEDGED THAT I WAS NOT INVOLVED IN ANY WAY WITH THE ACTIVITIES ALLEGED IN HER COMPLAINT AND HAS WITHDRAWN MY NAME FROM HER COMPLAINT. HISTORY - IN JULY OF 2001, [CUSTOMER'S] BAISI BROKER RESIGNED FROM BAISI BECAUSE OF ALLEGED WRONGFUL ACTIVITIES WITH REGARD TO HER AND OTHER ACCOUNTS. THE REGIONAL VP OF BROKERAGE SERVICES ASKED ME TO TAKE OVER [CUSTOMER'S] ACCOUNT AFTER HIS DEPARTURE. I DID SO AT HE REQUEST. THE ONLY BUSINESS ACTIVITY IN [CUSTOMER'S] ACCOUNT WHILE I ACTED AS HER BROKER (WHICH WAS A PERIOD OF 3 MONTHS) WAS TO ELIMINATE THE EXCESSIVE MARGIN BALANCE HER PREVIOUS BROKER GENERATED. 3 YEARS LATER, [CUSTOMER'S] ATTORNEY CHOSE TO INCLUDE THE NAMES OF ALL BROKERS WHO'S NAME EVER APPEARED ON [CUSTOMER'S] STATEMENTS REGARDLESS OF THEIR ACTIVITY WITH [CUSTOMER'S] ACCOUNT IN THE COMPLAINT HE FILED ON HER BEHALF.
Date: April 05, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGED UNSUITABLE INVESTMENT IN AN ANNUITY Damage Amount Requested: $136,000.00 Broker Comment: ALLEGATIONS WERE MADE BY THE CLIENTS AGENT WHO WAS ATTEMPTING TO EXCERCISE THE "NURSING HOME/HOSPITAL" CLAUSE AND WAS DENIED. COMPLAINT DENIED BY BAIS AND LATER WITHDRAWN BY CLIENT'S AGENT.
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