JEFFREY DAVID RAHM

JEFFREY DAVID RAHM is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 60 SOUTH SIXTH STREET, SUITE 3000, MINNEAPOLIS, MN, 55402.

JEFFREY DAVID RAHM has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since December 06, 2006

Disclosure History

JEFFREY DAVID RAHM has 5 Disclosure Event(s).

Date: November 06, 2008
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT REGISTERED REPRESENTATIVE FAILED TO FOLLOW HIS INSTRUCTIONS TO INVEST IN SECURE BONDS AND CLAIMS LOSSES. ACTIVITY PERIOD 3/13/08-5/23/2008.
Damage Amount Requested: $350,000.00
Settlement Amount: $135,000.00

Date: June 03, 2003
Category: Customer Dispute
Allegations: UNAUTHORIZED TRADING
Damage Amount Requested: $100,000.00
Settlement Amount: $187,792.00

Date: May 22, 2002
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNSUITABLE INVESTMENTS.
Damage Amount Requested: $330,400.00

Date: May 02, 2002
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNSUITABLE INVESTMENT.
Damage Amount Requested: $45,360.00

Date: May 11, 2001
Category: Customer Dispute
Allegations: DISSATISFACTION WITH DECREASE IN VALUE OF ACCOUNT. ALLEGES MISREPRESENTATION ON ACCOUNT.
Damage Amount Requested: $107,057.00

More Information

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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.

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