Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Dienstag (Dienstag), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dienstag recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $20,244.00 on March 31, 2025.
Client complains they deposited funds in their 529 accounts, expecting the Financial Advisor to invest the funds. The client is requesting to be compensated on the lost opportunity for uninvested funds. (10/25/07-9/1/16)