Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rogers (Rogers), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rogers 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 $400,000.00 on May 22, 2020.
Time frame: Unspecified \<char_lb_r>\, Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.