Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roman Meyerhans (Meyerhans), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Meyerhans recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 17, 2023.
Subject to an order and suspension by FINRA for violating FINRA Rules 4511 and 2010.