THOMAS EDWARD GAFFNEY is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 125 HIGH STREET, BOSTON, MA, 02110.
THOMAS EDWARD GAFFNEY has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since December 04, 2015
Disclosure History
THOMAS EDWARD GAFFNEY has 2 Disclosure Event(s).
Date: November 23, 2002 Category: Customer Dispute Allegations: AFTER A PROLONGED PERIOD OF WEAK AND VOLATILE MARKET CONDITIONS, COMPLAINANT HAS NOW ALLEGED THAT HE SUFFERED LOSSES AS A RESULT OF ALLEGEDLY UNSUITABLE INVESTMENT TRANSACTIONS AND POOR ADVICE. ALLEGED DAMAGES ARE UNSPECIFIED BUT ESTIMATED TO EXCEED MINIMUM FILING REQUIREMENTS. Damage Amount Requested: $6,000,000.00 Settlement Amount: $17,500.00
Date: October 26, 1999 Category: Customer Dispute Allegations: CLAIMANT ALLEGES IN A DRAFT STATEMENT OF CLAIM THAT UNSUITABLE INVESTMENTS WERE MADE IN HER ACCOUNT WHICH LED TO LOSSES IN EXCESS OF $150,000 Damage Amount Requested: $150,000.00 Broker Comment: THERE HAS BEEN NO ACTIVITY SINCE THAT DATE.
More Information
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