Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Okeefe (Okeefe), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Okeefe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on April 16, 2025.
POA for the customer alleged FA Michael O’Keefe incorrectly told the principal the monthly annuity distribution was a lifetime withdrawal benefit.