STANTON KONRAD JONES is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 401 NORTH 31ST STREET, SUITE 1610, BILLINGS, MT, 59101.
STANTON KONRAD JONES has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since March 03, 2011
Disclosure History
STANTON KONRAD JONES has 2 Disclosure Event(s).
Date: March 03, 2011 Category: Employment Separation After Allegations Firm Name: UBS FINANCIAL SERVICES INC. Termination Type: Voluntary Resignation Allegations: MR. JONES RESIGNED WHILE UNDER INTERNAL REVIEW FOR CERTAIN CONDUCT RELATING TO FIRM POLICIES ON ORDER ENTRY, REPORTING OF CUSTOMER COMPLAINTS, MUTUAL FUNDS INVESTMENTS HELD AT THE FUND COMPANY, AND COMMUNICATIONS WITH THE PUBLIC. Broker Comment: FINRA EXAMINED MY CONDUCT AND CLOSED ITS FILE, TAKING NO FORMAL ACTION.
Date: October 18, 2010 Category: Customer Dispute Allegations: TIME FRAME: AUGUST 31, 2010 - OCTOBER 1, 2010CLIENT VERBALLY ALLEGES FA FAILED TO FOLLOW INSTRUCTIONS TO ENTER TRADE ORDER Settlement Amount: $26,633.74
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