Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hayes Clark (Clark), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $7,830.00 on October 20, 2020.
Client alleges registered representative traded excessively without the client’s knowledge or consent. Timeframe 3/17/18 through 9/15/20.