WILLIAM CHARLES MARTIN

WILLIAM CHARLES MARTIN is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 10 WEYBOSSET STREET, SUITE 404, PROVIDENCE, RI, 02906.

WILLIAM CHARLES MARTIN has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since August 05, 2011

Disclosure History

WILLIAM CHARLES MARTIN has 4 Disclosure Event(s).

Date: August 05, 2011
Category: Employment Separation After Allegations
Firm Name: MORGAN STANLEY SMITH BARNEY
Termination Type: Voluntary Resignation
Allegations: AT THE TIME OF HIS RESIGNATION, THE FIRM WAS CONDUCTING AN INQUIRY REGARDING THE EMPLOYEE'S HANDLING OF HIS OWN CHECKING ACCOUNT, NON-CLIENT RELATED.

Date: November 05, 2003
Category: Customer Dispute
Allegations: NEGLIGENCE, CHURNING, UNAUTHORIZED TRADING, MISREPRESENTATION, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, UNSUITABILITY. 11/99-1/03
Damage Amount Requested: $147,614.00
Settlement Amount: $105,000.00

Date: October 02, 1995
Category: Customer Dispute
Allegations: CHURNING ALLEGED DAMAGES $133,450.00 PRODUCTFUTURES (METALS CONTRIBUTION $0.00
Damage Amount Requested: $133,450.00
Settlement Amount: $46,000.00
Broker Comment: SETTLED FOR $46,000.00 (INDIVIDUAL CONTRIBUTION$0.00THE CASE WAS SETTLED FOR BUSINESS FOR $48,00.0.00THE CASE WAS SETTLED SOLELY FOR BUSINESS PURPOSES & TO AVOIDTHE HIGH COST OF DEFENDING A POTENTIAL LAWSUIT. THE CLIENT ISA SOPHISTICATED JEWELRY MANUFACTURER WHO PLACED ALL TRADES &WAS FAMILIAR WITH THE VOLATILITY OF GOLD AND SILVER PRICESFURTHERMOR E, I ADMITTED NO WRONGDOING IN THE HANDLING OF THISACCOUNT.

Date: March 12, 1993
Category: Customer Dispute
Allegations: UNSUITABILITY ALLEGED DAMAGES-$9,999.99
Damage Amount Requested: $9,999.99 Damages Granted: $5,000.00
Broker Comment: AWARD RENDERED IN THE AMOUNT OF $5,000. MR.MARTIN DID NOT CONTRIBUTE TOWARD THIS AWARD.Not Provided

More Information

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