MICHAEL JOSEPH DORSEY is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 1099 ALAKEA STREET, SUITE 1510 & SUITE 2520, HONOLULU, HI, 96813.
MICHAEL JOSEPH DORSEY has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since August 14, 2008
Disclosure History
MICHAEL JOSEPH DORSEY has 2 Disclosure Event(s).
Date: July 21, 2016 Category: Customer Dispute Allegations: Claimant alleges breach of fiduciary duty, constructive fraud, fraud by misrepresentation and omission, breach of written contract, failure to supervise and control, financial abuse, and violation of state and federal securities laws, FINRA Rules of Fair Practice and NYSE Rules. Damage Amount Requested: $250,000.00 Settlement Amount: $50,000.00
Date: June 15, 2005 Category: Employment Separation After Allegations Firm Name: SMITH BARNEY Termination Type: Discharged Allegations: SIGNED CLIENTS SIGNATURE WITHOUT CLIENTS PERMISSION ON 2ACCOUNT RELATED AGREEMENTS
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