LAWRENCE RAPHAEL DELHAGEN is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 3701 CORPORATE PARKWAY, SUITE 110, CENTER VALLEY, PA, 18034.
LAWRENCE RAPHAEL DELHAGEN has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since July 10, 2007
Disclosure History
LAWRENCE RAPHAEL DELHAGEN has 2 Disclosure Event(s).
Date: December 15, 2014 Category: Customer Dispute Allegations: CLAIMANT ALLEGES UNSUITABILITY, BREACH OF THE IMPLIED COVENANT OF GOOD FAITH AND FAIR DEALING, AND BREACH OF FIDUCIARY DUTY. Damage Amount Requested: $55,000.00 Settlement Amount: $22,500.00
Date: September 30, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT SHE WAS NOT SOLICITED TO PURCHASE THREE INVESTMENTS WHICH WERE NOT SUITABLE. TIME FRAME:06/29/07 THROUGH 03/08/2011. Damage Amount Requested: $60,000.00
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