Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Cohen (Cohen), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Cohen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 15, 2024.
Claimants, as Personal Representatives of the deceased client’s Estate, allege common law fraud, negligence, breach of contract, breach of fiduciary duty, violation of Section 10(b) of Securities Exchange Act of 1934 and FINRA Rule 2020, violation of Section 20(a) of Securities Exchange Act of 1934, and unsuitability.