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
Disclosure History
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THE CLIENT HAS ACKNOWLEDGED THAT I WAS NOT INVOLVED IN ANY WAY WITH THE ACTIVITIES ALLEGED IN HER COMPLAINT AND HAS WITHDRAWN MY NAME FROM HER COMPLAINT.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 COMPLAINT DENIED BY BAIS AND LATER WITHDRAWN BY CLIENT'S AGENT.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for JANET WILLIS BEVAN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.