MAGAY LYN SHEPARD

MAGAY LYN SHEPARD is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 6100 FAIRVIEW ROAD, SUITE 700, CHARLOTTE, NC, 28210.

MAGAY LYN SHEPARD has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since April 03, 2009

Disclosure History

MAGAY LYN SHEPARD has 2 Disclosure Event(s).

Date: September 29, 2004
Category: Customer Dispute
Allegations: ALLEGED MISREPRESENTATION AND UNSUITABLE RECOMMENDATIONS. SEPTEMBER 23, 2003. ** PLEASE NOTE: CLIENT WANTS FIXED VS. VARIABLE. THE ALLEGED COMPENSATORY DAMAGE AMOUNT REPRESENTS THE PURCHASE AMOUNT.
Damage Amount Requested: $63,886.00

Date: July 21, 2004
Category: Customer Dispute
Allegations: ALLEGED NEGLIGENCE. (FALL,2000-FALL, 2001)
Damage Amount Requested: $550,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

To view the full report for MAGAY LYN SHEPARD, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.