Tag Archives: Thompson Davis & Co. Inc.

FINRA Bars Thompson Davis Stockbroker For Obstruction

November 20, 2017  |   Posted by :   |   Misappropriation of Funds, Stockbroker Theft   |   0 Comments

Victor M. Dandridge III of Richmond, Virginia, a stockbroker formerly registered with Thompson Davis & Co., Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of his unauthorized diversion of customer funds. Letter of […]

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Stifel Nicolaus Named In FINRA Securities Arbitration Alleging Unsuitability

Charles John Obryant III, of Raleigh, North Carolina, a stockbroker formerly registered with Stifel, Nicolaus & Company, has been named in a customer initiated investment related arbitration claim on October 2, 2015, which settled for $632,298.00 in damages based upon allegations that Obryant negligently handled the customer’s investment account, breached his fiduciary duty, and effected […]

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