JODI ANN REED

JODI ANN REED is currently employed as a Broker and/or Investment Adviser at NATIONAL SECURITIES CORPORATION located at 200 S WACKER DRIVE, STE 2500, CHICAGO, IL, 60606.

JODI ANN REED has worked at NATIONAL SECURITIES CORPORATION since June 27, 2016

Disclosure History

JODI ANN REED has 3 Disclosure Event(s).

Date: May 20, 2016
Category: Employment Separation After Allegations
Firm Name: STIFEL, NICOLAUS & COMPANY, INCORPORATED
Termination Type: Discharged
Allegations: Management loss of confidence in registered representative following receipt of customer complaints.

Date: April 19, 1999
Category: Customer Dispute
Allegations: CLAIMANT ALLEGEG UNAUTHORIZED TRADES,UNSUITABLE TRADES AND USE OF MARGIN, AND CHURNING AGAINSTGRUNTAL & CO. L.L.C. ACCOUNT EXECUTIVE JODI REED. CLAIMANTSOUGHT DAMAGES OF $350,000.
Damage Amount Requested: $350,000.00
Settlement Amount: $27,500.00
Broker Comment: GRUNTAL & CO., L.L.C. SETTLED THE ARBITRATION DOE 27,500 WITHOUT ADMITTING LIABILITY AND TO AVOID FURTHER COSTS OF LITIGATION. RESPONDENT JODI REED CONTRIBUTED $13,750 TO THE SETTLEMENT.

Date: January 01, 1992
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGED MISREPRESENTATION,UNSUITABILITY, EXCESSIVE & UNAUTHORIZED TRADING RESULTED INDAMAGES OF APPROXIMATELY $25,000 TO THEIR ACCOUNT
Damage Amount Requested: $25,000.00
Settlement Amount: $10,000.00
Broker Comment: THE FIRM (SMITH BARNEY SHEARSON) SETTLED THISMATTER FOR $10,000; I THE BROKER WAS NOT REQUIRED TOPARTICIPATE IN THIS MATTER.THE FIRM CLAIMED "DOCUMENTED DISCREPANCY" WITHOUTCLARIFYING THIS MANT THEIR HEAD OFFICE WAS UNABLE TO LOCATE THECLIENTS UPDATED NEW ACCOUNTS FROM WHICH I HAD OBTAINED FROM THECLIENTS WHEN THEIR ORIGINAL INVESTMENT OBJECTIVES CHANGED.

More Information

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