Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Galen Foster (Foster), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 $111,005.61 on July 20, 2021.
Customer alleges registered representative never mentioned that investment was a junk bond and failed to safeguard investment. 9/14/19 through 7/2/20