Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patty Dawson (Dawson), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dawson 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 $1,000,001.00 on December 21, 2023.
Claimants allege violations of Michigan Uniform Securities Act of 2008, violation of California Corporate Securities Law, violation of Missouri Securities Act of 2003, violation of Michigan Consumer Protection Act, violation of California Consumer Legal Remedies Act, violation of Missouri Consumer Protection Act, breach of fiduciary duty, violation of Regulation Best Interest, violation of FINRA Rule 2111, violation of FINRA Rule 3110, negligence, and breach of contract.