JULIE KRISTINE YOTHER is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 1420 NEAL STREET, SUITE 203, COOKEVILLE, TN, 38501.
JULIE KRISTINE YOTHER has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since March 03, 2016
Disclosure History
JULIE KRISTINE YOTHER has 1 Disclosure Event(s).
Date: May 01, 2000 Category: Customer Dispute Allegations: CLAIMANT ALLEGES INVESTMENT NOT SUITABLE AS A RETIREMENT INVESTMENT VEHICLE. CLAIMS THAT HE WANTED INVESTMENT TO BE LIQUID, WITH ABILITY TO ACCESS FUNDS WITHIN A WEEK IF NEEDED. ALSO, CLAIMS INVESTMENT WAS REPRESENTED AS BEING ABLE TO FULLFILL THAT NEED. LOSS CLAIMED TO BE $9,407.36. Damage Amount Requested: $9,407.36 Settlement Amount: $28,082.24 Broker Comment: I FOUND THIS 13-YEAR OLD "PENDING" COMPLAINT IN 2013 ON FINRA'S WEBSITE AND EVEN THOUGH IT HAD BEEN ARCHIVED BY FINRA, I BROUGHT IT TO OUR COMPLIANCE DEPARTMENT'S ATTENTION. THIS CLIENT'S ALLEGATIONS WERE ABSOLUTELY UNSUBSTANTIATED, AS INVESTMENT ADVICE WAS ALWAYS PROVIDED BASED ON THE CLIENT'S GOALS AND INVESTMENT PREFERENCES, MEETING ALL SUITABILITY REQUIREMENTS. (AFTER TALKING WITH THIS CLIENT IN MAY, 2000, HE ACTUALLY APOLOGIZED AND REQUESTED THAT I CONTINUE TO BE HIS INVESTMENT BROKER.) THE SETTLEMENT MADE BY J.C. BRADFORD & CO., WHICH INCLUDED LIQUIDATING THE ENTIRE INVESTMENT FOR THE CLIENT, WAS MADE TO AVOID THE UNCERTAINTIES, TIME, AND COST ASSOCIATED WITH THE ARBITRATION PROCESS, SINCE ON APRIL 28, 2000, PAINEWEBBER GROUP HAD ANNOUNCED ITS INTENTIONS TO ACQUIRE J.C. BRADFORD & CO. I WAS NOT INFORMED THAT THIS MATTER HAD BEEN SETTLED AND WAS NOT ASKED TO PERSONALLY CONTRIBUTE ANY MONIES TOWARD ITS SETTLEMENT.
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