Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Barry (Barry), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Barry recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 04, 2020.
Claimant alleges breach of fiduciary duty, misrepresentation and non-disclosure, negligence and gross negligence, and violation of Louisiana Securities Laws.