SHAWN MICHAEL HERTZ

SHAWN MICHAEL HERTZ is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 875 HARMON STREAM BLVD, SUITE 200, BOZEMAN, MT, 59718.

SHAWN MICHAEL HERTZ has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since May 21, 2009

Disclosure History

SHAWN MICHAEL HERTZ has 1 Disclosure Event(s).

Date: July 19, 2002
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS. MAY 2002 THROUGH JULY 2002.
Damage Amount Requested: $9,592.00
Settlement Amount: $4,950.00
Broker Comment: THE CLAIM WAS SETTLED FOR $4,950.

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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