THEODORE JAMES STURGES

THEODORE JAMES STURGES is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 8900 KEYSTONE CROSSING, SUITE 300, INDIANAPOLIS, IN, 46240.

THEODORE JAMES STURGES has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since January 26, 2015

Disclosure History

THEODORE JAMES STURGES has 2 Disclosure Event(s).

Date: June 09, 2009
Category: Customer Dispute
Allegations: **UPDATE-THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $15,000 OR MORE**SUITABILITY - DATES OF ACTIVITY ARE FROM 2/13/08 THRU 9/26/08.
Broker Comment: ***UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $15,000 OR MORE**COMPLAINT BROUGHT BY THE DAUGHTER OF THE CLIENT. COMPLAINT WAS DISMISSED BY THE FIRM AS WITHOUT MERIT.

Date: November 09, 2005
Category: Customer Dispute
Allegations: **UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $10,000 OR MORE** ALLEGES CHURNING AND UNSUITABLE INVESTMENTS. DAMAGES ARE BELIEVED TO EXCEED $5,000. (JANUARY 1999 - MAY 2001)
Broker Comment: **UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $10,000 OR MORE** COMPLAINT BROUGHT AGAINST FORMER JUNIOR PARTNER, WHO HAD LEFT THE PRACTICE 2 YEARS PRIOR TO THE COMPLAINT BEING RECEIVED. COMPLAINT FELL ONTO STURGES (SENIOR PARTNER) SINCE JUNIOR PARTNER WAS GONE. STURGES HAD NEVER ACTUALLY MET THE CLIENT. COMPLAINT WAS DISMISSED BY THE FIRM AS WITHOUT MERIT.

More Information

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