Chadwick David Carrick (also known as Chadwick Davie Carrick and as Chad Carrick), of Mobile, Alabama, a stockbroker registered with Stifel Nicolaus Company Incorporated, was referenced in a customer initiated investment related civil action that was settled for $300,000.00 in damages based upon the alleged breach of fiduciary duty, churning, excessive trading, failure to supervise, and negligence in connection with the sale of certain stocks or equities when Carrick was associated with Stifel Nicolaus Company. Civil Action No. 21-01027 (Green County Mississippi Circuit Court)(December 18, 2023).
inancial Industry Regulatory Authority (FINRA) Public Disclosure shows that Carrick was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $35,000.00 in damages based upon alleged breach of fiduciary duty, unauthorized trading, violation of Mississippi securities laws, violation of securities rules, breach of contract, and unsuitable recommendations in stocks during the time that Carrick was associated with Sterne Agee Leach Inc. FINRA Arbitration No. 18-03089 (January 21, 2020).
Public Disclosure also shows that on September 2, 2009, Morgan Stanley Smith Barney discharged Carrick for allegedly violating firm policies and procedures by altering customer documents.
Carrick was associated with Stifel Nicolaus Company Incorporated in Mobile, Alabama from July 7, 2015, to August 18, 2017. Carrick has been associated with The Jeffrey Matthews Financial Group, L.L.C. in Fairhope, Alabama since August 11, 2017.
