MARK HEMPHILL MATHISEN

MARK HEMPHILL MATHISEN 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.

MARK HEMPHILL MATHISEN has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since July 07, 2015

Disclosure History

MARK HEMPHILL MATHISEN has 2 Disclosure Event(s).

Date: July 02, 2001
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGE UNSUITABLE INVESTMENT AND FRAUDULENT MISREPRESENTATIONS AND OMISSIONS.
Damage Amount Requested: $20,000.00 Damages Granted: $11,523.30

Date: November 06, 1995
Category: Regulatory

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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.

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