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
Disclosure History
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.
More Information
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