Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Perry (Perry), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Perry 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 $140,000.00 on October 13, 2021.
Claimant alleges fraudulent misrepresentation, negligent misrepresentation, breach of fiduciary duty, violation of RSMO Sections 409.5-509 and 409.5-501 (General Fraud), breach of the duty of suitability, unauthorized trading, and negligence. Timeframe June 2016 through March 2019.