Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Boss (Boss), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Boss recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $186,617.46 on November 13, 2023.
Customer alleges that in 2019 registered representative did not advise customer that selling securities would trigger capital gains tax, which amounted to $23,509.80.