JOHN RALPH LYNCH is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 11300 CANTRELL ROAD, SUITE 101, LITTLE ROCK, AR, 72212.
JOHN RALPH LYNCH has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since July 07, 2015
Disclosure History
JOHN RALPH LYNCH has 2 Disclosure Event(s).
Date: October 21, 2013 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT REPRESENTATIVE MADE AN UNAUTHORIZED TRADE AND GAVE POOR RECOMMENDATIONS BETWEEN 12/24/07 AND 4/30/09. Damage Amount Requested: $23,526.44 Settlement Amount: $17,354.00 Broker Comment: REPRESENTATIVE STATES THAT ALL TRADES WHERE AUTHORIZED BY THE CUSTOMER AND THAT ANY RECOMMENDATION MADE WAS APPROPRIATE AT THE TIME IT WAS MADE. WHILE CONTINUING TO DENY ANY LIABILITY, FIRM ELECTED TO SETTLE WITH CUSTOMER TO AVOID THE EXPENSE OF ARBITRATION.
Date: March 12, 2003 Category: Customer Dispute Allegations: SUITABILITY ISSUES Damage Amount Requested: $120,000.00 Broker Comment: MR.LYNCH WAS NEITHER THE BROKER NOR THE SUPERVISOR OF RECORD FOR CUSTOMER'S ACCOUNT. MR.LYNCH MET WITH THE CUSTOMER AND BROKER ON ONE OCCASION TO DISCUSS THE ACCOUNTS. MR.LYNCH WAS NOT NAMED BY THE CUSTOMER UNTIL AFTER THE COMPLAINT WAS DENIED. THIS COMPLAINT IS BEING REPORTED DUE TO NASD EXAMINER REQUEST.
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