Stifel

Broker Kenneth Blumberg in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Blumberg (Blumberg), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Blumberg 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 $100,000.01 on March 18, 2022.

Claimants allege failure to diversify, unsuitable investments, misrepresentation and claim violation of common law fraud, breach of fiduciary duty, and negligence.

Broker Adam Chustz in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Chustz (Chustz), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Chustz 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 $200,000.00 on October 06, 2025.

Claimant alleges breach of contract and warranties, promissory estoppel; violation of Consumer Protection and Deceptive Trade Practices Act; violation of state securities statutes; common law fraud; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission and negligent misrepresentation/omission; and unjust enrichment.

Broker Paul Kim in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Kim (Kim), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kim 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 $1,450,000.00 on August 19, 2022.

Clients allege registered representative did not follow instructions, resulting in $1.7 million in losses from January 2022 through the present. Claimants’ Statement of Claim asserts causes of action for breach of fiduciary duty, negligence, fraud, breach of contract, third-party beneficiary breach of contract, violation of state securities statutes, violation of Reg BI, and negligent supervision, and requests $1.45 million in damages.

There are Recent Customer Complaints with Broker Timothy Darragh in Firm Stifel, Nicolaus & Company, Incorporated

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Darragh (Darragh), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Darragh 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 $100,000.00 on August 04, 2025.

Claimants allege breach of contract and warranties, promissory estoppel; violation of state securities statutes; violation of Regulation Best Interest; breach of fiduciary duty and negligence.

Broker John Suess in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

October 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Suess (Suess), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Suess 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 $200,000.00 on August 19, 2025.

BREACH OF CONTRACT AND WARRANTIES, PROMISSORY ESTOPPEL, CONSUMER PROTECTION AND DECEPTIVE TRADE PRACTICES ACT, VIOLATION OF STATE SECURITIES STATUTES, COMMON LAW FRAUD, BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND GROSS NEGLIGENCE, FINRA Conduct Rule 2010, FINRA Conduct Rule 2020, FINRA Conduct Rule 2090, FINRA Conduct Rule 2111, FINRA Conduct Rule 2210, FINRA Conduct Rule 3110, MISREPRESENTATION/OMMISSION AND NEGLIGENT MISREPRESENTATION/OMISSION, UNJUST ENRICHMENT, COMMON LAW, STATUTORY CLAIMS AND DAMAGES, and VICARIOUS & CONTROL PERSON LIABILITY

There are Recent Customer Complaints with Broker Adam Chustz in Firm Stifel, Nicolaus & Company, Incorporated

October 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Chustz (Chustz), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Chustz 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 $5,000,000.00 on August 21, 2025.

Breach of Contract and Warranties, Promissory Estoppel; Consumer Protection and Deceptive Trade Practices Act; Violation of State Securities Statutes; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence; Misrepresentation/Omission and Negligent; Misrepresentation/Omission; Unjust Enrichment; Failure to Supervise; Common Law, Statutory Claims and Damages; and Vicarious & Control Person Liability.

There are Recent Customer Complaints with Broker Edward Villanyi in Firm Stifel, Nicolaus & Company, Incorporated

October 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Villanyi (Villanyi), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Villanyi 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 $100,000.00 on August 21, 2025.

Customer alleges registered representative liquidated an investment without the customer’s authorization and invested in two mutual funds.

There are Recent Customer Complaints with Broker Chuck Roberts in Firm Stifel, Nicolaus & Company, Incorporated

October 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Roberts 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 $1,000,000.00 on August 21, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

Broker Jason Rudolph in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Rudolph (Rudolph), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rudolph 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 $20,292.00 on November 10, 2022.

Failure to follow instructions.

There are Recent Customer Complaints with Broker Lawrence Delhagen in Firm Stifel, Nicolaus & Company, Incorporated

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Delhagen (Delhagen), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Delhagen 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 $400,000.00 on November 08, 2022.

Claimants allege breach of fiduciary duty, breach of contract, negligence/negligent misrepresentation/omission, common law fraud, and restitution.