THOMAS JOHN GAGNER is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 701 EAST LAKE STREET, WAYZATA, MN, 55391.
THOMAS JOHN GAGNER has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since December 06, 2006
THOMAS JOHN GAGNER has 3 Disclosure Event(s).
Date: December 27, 1994 Category: Regulatory
Date: July 29, 1983 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Resolution: Decision SanctionDetails: Sanctions: Censure Broker Comment: ON AUGUST 25, 1982, THE NASD DISTRICT BUSINESS CONDUCT COMMITTEE FOR DISTRICT NO. 8 AT A RECENT MEETING AUTHORIZED THE FILING OF A COMPLAINT AGAINST GAGNER, HIS CUSTOMER AND HIS FORMER EMPLOYER IN CONNECTION WITH THE ALLOCATION OF HIS DIRECTION OF 500 SHARES OF HART EXPLORATION, A SECURITY INDISTRIBUTION WHICH ROSE AN IMMEDIATE PREMIUM IN THE AFTERMARKET ON DECEMBER 24, 1980 TO A RESTRICTED ACCOUNT UNDER THE BOARD OF GOVERNORS INTERPRETATION WITH RESPECT TO FREERIDING AND WITHHOLDING.
Date: May 05, 1981 Category: Customer Dispute Settlement Amount: $12,000.00 Broker Comment: THE CHARGES OF MISMANAGEMENT OF FUNDS AND BREACH OF FIDUCIARY RELATIONSHIP WERE TRUE, AND BOTH WERE DENIED DURING SWORN DEPOSITION PROCEEDINGS. THE COMPLAINT WAS EVENTUALLY SETTLED OUT OF COURT. BECAUSE THE ABOVE REFERENCED COMPLAINT DID NOT INVOLVE ANY VIOLATIONS OF SECURITIES REGULATIONS, STATE OR FEDERAL, NO COMPLAINT WAS EVER FILED WITH A REGULATORY AGENCY.
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