MATTHEW ROBERT NAULA is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 18 COLUMBIA TURNPIKE, FLORHAM PARK, NJ, 07932.
MATTHEW ROBERT NAULA has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since August 21, 2007
MATTHEW ROBERT NAULA has 3 Disclosure Event(s).
Date: June 28, 2016 Category: Customer Dispute Allegations: Client alleges registered representative acted in a negligent manner in connection with investments in Puerto Rico bonds. 9/23/10 through 12/19/13 Damage Amount Requested: $77,000.00
Date: November 27, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT ACCOUNT WAS INVESTED IN UNSUITABLE INVESTMENTS AND THAT ACCOUNT EXECUTIVE FAILED TO FOLLOW INSTRUCTIONS. Damage Amount Requested: $535,969.00 Settlement Amount: $160,000.00 Broker Comment: THIS MATTER WAS SETTLED TO AVOID FURTHER LITIGATION EXPENSE AND UNCERTAINTIES OF ARBITRATION.
Date: August 25, 2001 Category: Customer Dispute Allegations: CUSTOMER CLAIMS THAT INVESTMENT CONSULTANT NEVER NOTIFIED HER THAT HER CORPORATE BOND WAS GOING INTO DEFAULT. ALSO CLAIMS THAT THE INVESTMENT WAS UNSUITABLE. Damage Amount Requested: $9,147.81 Broker Comment: DENIED CUSTOMER'S CLAIM BASED ON THE FACT THAT SHE HAD INVESTED IN SIMILAR INVESTMENTS IN THE PAST WITHOUT COMPLAINT. IN REGARDS TO THIS PARTICULAR BOND, A NOTICE WAS SENT TO ALL CUSTOMERS WHO HELD THIS INVESTMENT, TELLING THEM THAT THE COMPANY HAD FILED FOR CHAPTER 11 BANKRUPTCY. A NUMBER WAS PROVIDED IN ORDER TO CALL FOR 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 MATTHEW ROBERT NAULA, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More