MARK ALLEN STOFFEL

MARK ALLEN STOFFEL is currently employed as a Broker and/or Investment Adviser at ROBERT W. BAIRD & CO. INCORPORATED located at 111 NORTH MAIN STREET, WEST BEND, WI, 53095.

MARK ALLEN STOFFEL has worked at ROBERT W. BAIRD & CO. INCORPORATED since February 21, 2006

Disclosure History

MARK ALLEN STOFFEL has 1 Disclosure Event(s).

Date: June 12, 2015
Category: Customer Dispute
Allegations: CLIENT ALLEGES PRODUCTS WERE PURCHASED WITHOUT HIS AUTHORIZATION.
Settlement Amount: $14,625.72

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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.

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