MAT MURFREE JOHNSON is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 800 SHADES CREEK PARKWAY, SUITES 750 & 775, BIRMINGHAM, AL, 35209.
MAT MURFREE JOHNSON has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since July 07, 2015
Disclosure History
MAT MURFREE JOHNSON has 2 Disclosure Event(s).
Date: April 11, 2011 Category: Customer Dispute Allegations: CLAIMANTS ALLEGED THAT FIRM AND REPRESENTATIVE MISHANDLED THIER ACCOUNTS AND MADE UNSUITABLE RECOMMENDATIONS DURING 2008 AND ALLOWED THEM TO SUFFER A LOSS OF VALUE. Settlement Amount: $45,000.00 Broker Comment: FOLLOWING A MEDIATION HEARING, THE FIRM ELECTED TO SETTLE WITH THE CLAIMANTS FOR $22,500 EACH TO SAVE THE ADDITIONAL EXPENSE OF THE FULL ARBITRATION PROCESS. BOTH THE FIRM AND THE REP DENY ANY LIABILITY AND MERELY SETTLED DISPUTED CLAIMS TO END A PROTRACTED CONTROVERSY.
Date: April 15, 2009 Category: Customer Dispute Allegations: COMPLAINANT ALLEGES THAT REP FAILED TO SELL HER "TMK" STOCK AS DIRECTED BETWEEN 12/19/08 AND 1/14/09. Damage Amount Requested: $40,000.00 Broker Comment: REP ENTERED STOP-LIMIT ORDER EXACTLY AS COMPLAINANT REQUESTED AND COMPLAINANT MISSED THE MARKET. CLOSED FILE ON 7/10/09 AFTER COMPLAINANT'S ATTORNEY WITHDREW AND NO FURTHER ACTION TAKEN BY COMPLAINANT WITHIN REASONABLE TIME.
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