VINCENT JAMES BENVENUTO is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at MILLENNIUM ONE, 20 ASH STREET, CONSHOHOCKEN, PA, 19428.
VINCENT JAMES BENVENUTO has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since June 05, 2007
Disclosure History
VINCENT JAMES BENVENUTO has 2 Disclosure Event(s).
Date: January 25, 2006 Category: Customer Dispute Allegations: CUSTOMER CLAIMS THAT FROM JULY 2000 TO JUNE 2001, FINANCIAL ADVISOR, INTER ALIA, MADE ALLEGEDLY UNSUITABLE INVESTMENTS. Damage Amount Requested: $22,591.37 Settlement Amount: $6,000.00 05-06484
Date: June 28, 2001 Category: Customer Dispute Allegations: FAILED TO FOLLOW INSTRUCTIONS TO SELL OPEN-END MUTUAL FUND IF DROPPED 5%. DAMAGES UNSPECIFIED BUT GOOD FAITH ESTIMATE EXCEEDS $5,000. Broker Comment: CLIEN BOUGHT M.S.TECH FD(60M)FROM MATT MCBREEN.MATT LEFT MSDW & I INHERITED THE ACCT. I CALLED CLIENT TO INTRODUCE MYSELF & DISCUSS HER ACCTS.SHE HAD NO TIME FOR ME & SAID SHE'D CALL ME BACK.CLIENT NEVER CALLED BACK SO I CALLED AGAIN & THE TECH.FD. WAS DOWN 20 OR 30%. CLIENT PROCEEDS TO TELL ME SHE TOLD MATT MCBREEN SHE WANTED TO SELL THIS FUND IF IT DROPPED 5%(5).THIS WAS NEVER BROUGHT TO MY ATTENTION BY MATT OR THE CLIENT.I TOLD CLIENT TO VOICE HER COMPLAINT IN WRITING.
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