Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Booth (Booth), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Booth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $9,006.05 on April 16, 2020.
Client’s authorized agent alleges a trade was made without contacting the client or client’s authorized agent. Timeframe 3/24/20 – 3/24/20