ROBERT EMMET CLEARY is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 1095 AVENUE OF THE AMERICAS, 3RD & 4TH FLOORS, NEW YORK, NY, 10036.
ROBERT EMMET CLEARY has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since August 21, 2007
Disclosure History
ROBERT EMMET CLEARY has 2 Disclosure Event(s).
Date: May 17, 2018 Category: Customer Dispute Allegations: Claimant alleges breach of fiduciary duty, negligence, and breach of contract. Damage Amount Requested: $300,000.00
Date: August 24, 2016 Category: Customer Dispute Allegations: Client alleges losses due to inappropriate investment recommendations. 3/31/15 through 5/6/15 Damage Amount Requested: $70,000.00 Settlement Amount: $40,000.00
More Information
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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.
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