STEPHEN JAY FREIDELL is currently employed as a Broker and/or Investment Adviser at CENTRAL STATES CAPITAL MARKETS, LLC located at 4200 W 83RD STREET, STE 101, PRAIRIE VILLAGE, KS, 66208.
STEPHEN JAY FREIDELL has worked at CENTRAL STATES CAPITAL MARKETS, LLC since November 21, 2011
Disclosure History
STEPHEN JAY FREIDELL has 1 Disclosure Event(s).
Date: May 10, 2006 Category: Employment Separation After Allegations Firm Name: COMMERCE BANK N.A. Termination Type: Permitted to Resign Allegations: COMMERCE BANK'S COMPLIANCE DIVISION DETERMINED THAT, AT THE REQUEST OF THE PRINCIPAL RESPONSIBLE FOR APPROVING TRADES, TIME ENTRIES ON MUNICIPAL BOND TRADE TICKETS HAD BEEN ALTERED BY MYSELF, AND OTHER MUNICIPAL SECURITIES REPRESENTATIVES WITH COMMERCE BANK TO MAKE IT APPEAR THAT SOME OF THE REQUIRED MSRB RULE G-14 REPORTS WERE ISSUED WITHIN THE 15 MINUTES OF THE TIME TRADE, WHEN THEY WERE NOT. THE BANK'S INTERNAL INVESTIGATION DID NOT REVEAL THAT ANY CUSTOMERS HAD BEEN DAMAGED BY THESE ACTS AND THE BANK IS UNAWARE OF ANY CLAIMS ARISING OUT OF THESE ACTS.
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