August 2016-Englewood, CO
The FINRA records of Jeffrey E. Sigman, a stockbroker who currently is not currently registered disclose 1 prior final customer dispute and a recent employment separation after allegations.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In July 2016 Sigman was permitted to resign from Neidiger Tucker Bruner. The firm made the following allegations on Sigman’s FINRA record in connection with the separation : “NTB (Neidiger Tucker Bruner) was contacted by FINRA with an inquiry regarding the Outside Business Activities disclosed on Mr. Sigman’s CRD. After initiating an internal review, it became apparent that there were inaccuracies and inconsistencies in Mr. Sigman’s disclosure to NTB. Further documentation was requested and reviewed. It was determined that Mr. Sigman failed to follow the written supervisory procedures of the firm and was permitted to resign.”
Sigman was registered with Neidiger Tucker Bruner from 4/2001-7/2016.
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