JEROME CHARLES GENDRON

JEROME CHARLES GENDRON is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 477 SOUTH THIRD, SUITE 210, GENEVA, IL, 60134.

JEROME CHARLES GENDRON has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since June 04, 2001

Disclosure History

JEROME CHARLES GENDRON has 8 Disclosure Event(s).

Date: January 03, 2018
Category: Judgment / Lien
Judgment/Lien Amount: $9,664.00
Judgment/Lien Type: Tax

Date: December 26, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $48,014.00
Judgment/Lien Type: Tax

Date: November 04, 2015
Category: Financial
Type: Bankruptcy
Disposition: Dismissed

Date: December 07, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $3,407.00
Judgment/Lien Type: Civil

Date: August 25, 1997
Category: Customer Dispute
Allegations: ALLEGED UNSUITABLE EQUITY INVESTMENTS WITHDAMAGES IN EXCESS OF $10,000.
Settlement Amount: $18,000.00
Broker Comment: SETTLED FOR BUSINESS REASONS IN MEDIATION FOR$18,000 WITHOUT ADMITTING OR DENYING LIABILITY.N/A

Date: March 11, 1994
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES UNSUITABILITY ANDMISPREPRESENTATION WITH RESPECT TO DI PRODUCTS. ALLEGED DAMAGESOF $100,000.
Damage Amount Requested: $100,000.00
Settlement Amount: $36,000.00
Broker Comment: CLAIM WAS SETTLED FOR $36,000.[CUSTOMER] DISCUSSED MY INVESTMENTRECOMMENDATIONS WITH HER SON'S PRIOR TO MAKING THE INVESTMENTS.ADDITIONALLY, I SPOKE WITH SON ROBERT ON THE PHONE AND INPERSON REGARDING VARIOUS INVESTMENT DECISIONS FOR HIS MOTHER.ROBERT IS EMPLOYED BY A SECURITIES FIRM, IS SECURITIESLICENSED, AND WAS TRADING OPTIONS IN HIS MOTHER'S ACCOUNT.GIVEN THIS, SHE WAS NEITHER NAIVE OR UNSUITABLE. CLAIMS OFMISREPRESENTATION EQUATES TO MEMORY FAILURE OR LYING ON THECLIENT'S PART. THIS AWARD SHOULD NOT HAVE BEEN MADE.

Date: October 21, 1993
Category: Customer Dispute
Allegations: THE ABOVE REFERENCED CLIENT HAS SUBMITTED ACLAIM FORM TO THE CLAIMS RESOLUTIONS PROCESS RELATING TO THEPURCHASES OF VARIOUS LIMITED PARTNERSHIPS DURING THE PERIOD10/88 TO 12/88. JEROME C. GENDRON WAS THE BROKER OF RECORD ATTHE TIME OF THE PURCHASES. NO DAMAGES ARE ALLEGED,BUT THEAMOUNT OF ACTUAL LOSS(OUT-OF-POCKET LOSS) IS:$9,061
Damage Amount Requested: $9,061.00
Settlement Amount: $11,144.00
Broker Comment: A SETTLEMENT FOR THE ABOVE CLIENT HAS BEENREACHED IN THE CLAIMS RESOLUTION PROCESS. THE DOLLAR AMOUNT OFTHE SETTLEMENT IS AS FOLLOWS:$11,144THIS MATTER RESULTED FROM THE UNPRECEDENTED,UNSOLICITED MAILING OF CLAIM FORMS BY PSI TO OVER 340,000INVESTORS WHO PURCHASED LIMITED PARTNERSHIPS THROUGH PSI FROMJANUARY 1 1980 TO JANUARY 1 1991. THE ABOVE-REFERENCED CLIENTSUBMITTED A CLAIM FORM IN RESPONSE TO THIS MAILING. THE CLAIMFORM WAS EVALUATED BY PSI IN ACCORDANCE WITH THE STANDARDSESTABLISHED UNDER THE SETTLEMENT BETWEEN PSI AND THE SEC, THENASD AND THE STATE SECURITIES ADMINISTRATORS. THE REPORTEDSETTLEMENT AROSE OUT OF THIS UNIQUE PROCESS

Date: October 21, 1993
Category: Customer Dispute
Allegations: THE ABOVE REFERENCED CLIENT HAS SUBMITED ACLAIM FORM TO THE CLAIMS RESOLUTION PROCESS RELATING TO THEPURCHASE OF VARIOUS LIMITED PARTNERSHIPS DURING THE PERIOD 8/86TO 7/89. JEROME GENDRON WAS THE BROKER OF RECORD AT THE TIME OFTHE PURCHASES. NO DAMAGES ARE ALLEGED, BUT THE AMOUNT OFACUTUAL LOSS(OUT-OF-POCKET LOSS) IS APPROXIMATELY: $6,982
Damage Amount Requested: $6,982.00
Settlement Amount: $16,193.00
Broker Comment: A SETTLEMENT FOR THE ABOVE CLIENT HAS BEENREACHED IN THE CLAIMS RESOLUTION PROCESS. THE DOLLAR AMOUNT OFTHE SETTLEMETN IS APPROXIMATELY FOLLOWS:$16,193THIS MATTER RESULTED FROM THE UNPRECEDENTED,UNSOLICITED MAILING OF CLAIM FORMS BY PSI TO OVER 340,000INVESTORS WHO PURCHASED LIMITED PARTNERSHIPS THROUGH PSI FROMJANUARY 1 1980 TO JANUARY 1 1991. THE ABOVE-REFERENCED CLIENTSUBMITTED A CLAIM FORM IN RESPONSE TO THIS MAILING. THE CLAIMFORM WAS EVALUATED BY PSI IN ACCORDANCE WITH THE STANDARDSESTABLISHED UNDER THE SETTLEMENT BETWEEN PSI AND THE SEC, THENASD AND THE STATE SECURITIES ADMINISTORS. THE REPORTEDSETTLEMENT AROSE OUT OF THIS UNIQUE PROCESS.

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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