Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Fahsholtz (Fahsholtz), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fahsholtz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $90,000.00 on March 27, 2020.
Claimant alleges common law fraud, breach of fiduciary duty, negligence, breach of contract, violation of Washington Consumer Protection Act, and violation of Securities Act of Washington