Stephen Nelson Conrad of Boston Massachusetts is a stockbroker formerly registered with Winslow Evans and Crocker Inc. who is the subject of a customer initiated investment related written complaint which was resolved for $20,353.46 in damages on December 5, 2016 based upon accusations that unit investment trust and equity transactions had been placed in the customer’s account that were neither suitable for the customer nor authorized.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Conrad has been identified in five additional customer initiated investment related disputes containing allegations of his violative conduct during the time he was registered with Josepththal & Co., Inc. and Oppenheimer & Co, Inc. Specifically, on November 22, 2004, a customer filed an investment related arbitration claim pertaining to Conrad’s conduct where the customer requested $5,000.00 in damages founded on accusations that unsuitable over-the-counter equity transactions were executed in the customer’s account, and trades had been placed in the customer’s investment portfolio on an excessive basis. National Association of Securities Dealers (NASD) Arbitration No. 03-05701 (Nov. 22, 2004).
On June 23, 2007, another customer initiated investment related complaint pertaining to Conrad’s activities was settled for $135,016.00 in damages based upon allegations that excessive commissions and fees had been charged by Conrad in connection with the trading of the customer’s three investment accounts.
Conrad’s employment with Winslow, Evans & Crocker, Inc. was terminated on December 31, 2016. Since January 6, 2017, Conrad has been employed with Wood (Arthur W.) Company, Inc.
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