NORMAN MARTIN FISHBEIN

NORMAN MARTIN FISHBEIN is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 1225 FRANKLIN AVENUE, SUITE 150, GARDEN CITY, NY, 11530.

NORMAN MARTIN FISHBEIN has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since July 10, 2007

Disclosure History

NORMAN MARTIN FISHBEIN has 3 Disclosure Event(s).

Date: April 20, 2004
Category: Customer Dispute
Allegations: CLIENT ALLEGED UNSUITABILITY AND GROSS NEGLIGENCE WITH RESPECT TO INVESTMENTS; MAY 1999 - MARCH 2001.DAMAGES UNSPECIFIED.
Broker Comment: CLAIM DENIED.

Date: December 01, 1985
Category: Customer Dispute
Allegations: QUESTIONING CERTAIN TAX SHELTER INVESTMENTS MADE BY FISHBEIN.
Settlement Amount: $100,000.00
Broker Comment: ALTHOUGH SHEARSON BELIEVED THE INVESTMENTS WERE APPROPRIATE, "A BUSINESS DECISION" WAS MADE TO ACCEPT THE CLIENT'S ORDER TO RESELL HER HOLDINGS IN THE MARKETPLACE AND TO PAY THE CLIENT AN INTEREST EQUIVALENT OF APPROXIMATELY $100,000 ON HER ORIGINAL INVESTMENT.

Date: November 28, 1975
Category: Regulatory

More Information

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