Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Krogh (Krogh), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Krogh 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 $50,000.00 on October 14, 2021.
Successor trustee alleges that registered representative recommended an inappropriate investment strategy to the prior trustee. Timeframe: June 28, 2017 – December 4, 2017.