STANLEY MANUEL HOCHHAUSER

STANLEY MANUEL HOCHHAUSER is currently employed as a Broker and/or Investment Adviser at JANNEY MONTGOMERY SCOTT LLC located at ONE WHITEHALL STREET, 3RD FLOOR, NEW YORK, NY, 10004.

STANLEY MANUEL HOCHHAUSER has worked at JANNEY MONTGOMERY SCOTT LLC since December 14, 2001

Disclosure History

STANLEY MANUEL HOCHHAUSER has 1 Disclosure Event(s).

Date: April 01, 2005
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES THAT BROKER GAVE UNSUITABLE INVESTMENT ADVICE FOR ONE SECURITY AND THAT THE FIRM FAILED TO SUPERVISE FROM APPROXIMATELY MAY 1996 TO JULY 1999.
Damage Amount Requested: $370,000.00
Settlement Amount: $7,200.00
Broker Comment: THE PARTIES AGREE:TO A DISMISSAL WITH PREJUDICE TO NASD ARBITRATION CASE NO. 05-01106; TO AN EXPUNGEMENT FROM THE CRD RECORD OF HOCHHAUSER; NOT TO OPPOSE ANY PROPOSED AWARD TO EFFECTUATE EXPUNGEMENT PRESENTED BY RESPONDENTS TO THE PANEL FOR THEIR CONSIDERATION; THAT THE SETTLEMENT IS NOT CONTINGENT OR CONDITIONED UPON THE ARBITRATION PANEL OR COURT ORDERING AN EXPUNGEMENT IF THEY DECIDE NOT TO DO SO. FC WAS NOT ASKED TO PARTICIPATE IN SETTLEMENT OF $7.200.00. SETTLEMENT WAS $6,200.00 FOR CLAIMANT'S LAWYER. $1,000.00 FOR CLAIMANT.

More Information

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