RICHARD MERRILL HOWELL is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 305 YELLOWSTONE AVENUE, POCATELLO, ID, 83201.
RICHARD MERRILL HOWELL has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since January 29, 2016
Disclosure History
RICHARD MERRILL HOWELL has 1 Disclosure Event(s).
Date: November 02, 2000 Category: Customer Dispute Allegations: CUSTOMER CLAIMS THAT MR. HOWELL EXERCISED DISCRETION IN EXCHANGING A HIGH-YIELD BOND MUTUAL FUND FOR A STOCK MUTUAL FUND. NO DAMAGES SPECIFIED. Settlement Amount: $88,944.30 Broker Comment: THE TRANSACTIONS RESCINDED AT A COST OF $114,994.30. THIS CASE WAS SETTLED TO AVOID THE EXPENSE AND UNCERTAINTY OF LITIGATION. EVEN THOUGH THE CLIENT REQUESTED THE CHANGE, HE COMPLAINED ABOUT THE LOSS AFTER THE PRICES WENT DOWN AND THE FACT MY ASSISTANT LISTENED TO THE CONVERSATION. CLIENT IGNORED THE FACT THE FUND HE ORIGINALLY EXCHANGED FROM LOST MONEY ALSO DURING THE SAME PERIOD OF TIME. THE FIRM AGREED TO SETTLE. THE CLIENT WAS SUBSEQUENTLY REQUESTED TO MOVE HIS ACCOUNTS AFTER THE SETTLEMENT BY MERRILL LYNCH ADMIN MANAGER.
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