STEVEN MICHAEL THOMPSON is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at ONE NORTHWESTERN PLAZA, 28411 NORTHWESTERN HIGHWAY, SOUTHFIELD, MI, 48034.
STEVEN MICHAEL THOMPSON has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since December 10, 2008
Disclosure History
STEVEN MICHAEL THOMPSON has 2 Disclosure Event(s).
Date: December 05, 2008 Category: Employment Separation After Allegations Firm Name: WACHOVIA SECURITIES, LLC Termination Type: Discharged Allegations: EMPLOYEE ADMITTED TO THE WRONGFUL TAKING OF A PAINTING FROM LOBBY. Broker Comment: MY FATHER AND I BOTH WORKED FOR A.G. EDWARDS THAT WAS BOUGHT OUT BY WACHOVIA. MY FATHER RETIRED IN NOVEMBER AND WE HAD A SURPRISE PARTY FOR HIM. WACHOVIA LEFT OLD A.G. EDWARDS PICTURES IN THE OFFICE. AND I TOOK ONE TO USE FOR PHOTOS OF FRIENDS & FAMILY AT MY DADS PARTY. AS A NON-WACHOVIA PICTURE, I DID NOT (HAD NO IDEA) THINK OF IT AS SOMETHING TO REPORT TO MANAGEMENT. SEVERAL DAYS LATER IT WAS NOTICED MISSING AND I WAS EMBARRASED TO SAY ANYTHING. I BROUGHT THE PICTURE BACK TO THE OFFICE THE FOLLOWING DAY AND WAS TERMINATED FOR NOT SPEAKING UP.
Date: March 14, 2002 Category: Customer Dispute Allegations: ALLEGES UNAUTHORIZED TRADE. DAMAGES ARE NOT SPECIFIED BUT ARE BELIEVED TO BE IN EXCESS OF $5,000. Broker Comment: I DENY ALL ALLEGATIONS AND WILL DEFEND MY POSITION VIGOROUSLY. ALL TRADES WERE APPROVED BY THE CUSTOMER PREVIOUSLY VIA PHONE CONVERSATIONS. THIS COMPLAINT WAS FILED NEARLY 3 MONTHSAFTER TRADE DATE WHEN THE STOCK PRICE PLUMETED DUE TO UNEXPECTED ANNOUNCEMENT REGARDING ACCOUNTING ISSUES AND ADVERSE TEST RESULTS ON ONE OF THE COMPANIES PHARMACUTICAL PRODUCTS.
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