MARTIN HENRY OCONNOR

MARTIN HENRY OCONNOR is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 16870 WEST BERNARDO DRIVE, SUITE 150, SAN DIEGO, CA, 92127.

MARTIN HENRY OCONNOR has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since May 31, 2013

Disclosure History

MARTIN HENRY OCONNOR has 3 Disclosure Event(s).

Date: August 17, 2007
Category: Customer Dispute
Allegations: ALLEGED THAT HE DID NOT KNOW THAT THE INVESTMENT WAS CONSIDERED SPECULATIVE. DAMAGES WERE BELIEVED TO EXCEED $5,000. (2007)
Settlement Amount: $2,611.96

Date: May 01, 2003
Category: Customer Dispute
Allegations: ALLEGED BOND WAS SPECULATIVE AND INAPPROPRIATE FOR HER ACCOUNT.
Damage Amount Requested: $7,054.00
Settlement Amount: $4,000.00
Broker Comment: I STRONGLY DENY THE CLIENTS CLAIMS. A BUSINESS DECISION WAS MADE TO SETTLE BASED ON THE NUISANCE OF THE COST TO DEFEND. MY CONTINUING GOAL IN ASSISTING MY CLIENTS IS TO DELIVER THE BEST VALUE I CAN. THE BONDS PURCHASED IN JANUARY WERE RATED A1, A AND A+ BY THE MAJOR RATINGS AGENCIES. AAA BONDS WERE YIELDING 2.85 TO 3.00%, THESE BONDS WERE BOUGHT TO YIELD3.75%, A SIGNIFICANT YIELD PICK-UP OF THE '09' MATURITY. IT IS MY BELIEF THAT THE BONDS WERE SAFE THEN AND ARE STILL SAFE INVESTMENTS. THE BONDS WERE A SIX YEAR MATURITY, NOT A 20 OR 30 YEAR. IN ADDITION, THE STRUCTURING OF THIS ISSUE, E.G. "TURBO" STRUCTURE, MAXIMUM ANNUAL DEBT SERVICE RESERVE, DESIGNED TO EVEN WITHSTAND THE BANKRUPTCY OF ONE OF THE MAJOR TABACCO COMPANIES, ASSUMPTION OF A DECLINE IN CIGARETTE CONSUMPTION. IT IS MY BELIEF THAT THE BONDS IN QUESTION HAD STAYING POWER.

Date: December 06, 1991
Category: Criminal

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