Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Adams (Adams), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Adams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 26, 2025.
Customer alleges registered representative failed to invest cash held in managed accounts, and customer claims registered representative provided inaccurate explanations regarding timing of investment and advisory fees.