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
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for WILLIAM CHARLES MARTIN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.