Stifel

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

March 3, 2026 | 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 2 customer complaints, 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 $100,000.00 on January 06, 2026.

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 Erik Melville in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Melville (Melville), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Melville 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 $15,919.00 on March 04, 2021.

Client alleges advisor failed to follow instructions with regard to trading in the account.

Broker Richard Schultz in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Schultz (Schultz), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Schultz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $2,928,362.00 on March 05, 2021.

Richard Schultz was named in a customer complaint that asserted the following causes of action: breach of fiduciary duties; breach of Minnesota securities statutes; breach of the Minnesota Consumer Fraud Act; suitability; fraudulent misrepresentation and negligent misrepresentation; common law fraud; negligence; breach of contract; fraudulent misrepresentation by silence; failure to supervise; and respondeat superior.

Broker Frederick Mueller in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Mueller (Mueller), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mueller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 06, 2021.

Claimant alleges registered representative invested Claimant’s accounts in an aggressive and unsuitable manner.

There are Recent Customer Complaints with Broker Jeffrey Rettman in Firm Stifel, Nicolaus & Company, Incorporated

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Rettman (Rettman), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rettman 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 $30,106.00 on May 10, 2021.

The client alleges the financial advisor did not inform him the liquidation of a 529 account would result in tax consequences.

There are Recent Customer Complaints with Broker Sean Westbrook in Firm Stifel, Nicolaus & Company, Incorporated

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Westbrook (Westbrook), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Westbrook 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 $100,000.00 on July 01, 2021.

Claimant alleges the representative recommended alternative investments that were unsuitable.

Broker Blake Furgerson in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Furgerson (Furgerson), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Furgerson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Customers allege registered representative did not fully disclose investments, which customers claim they would not have approved if they were told.

There are Recent Customer Complaints with Broker Galen Foster in Firm Stifel, Nicolaus & Company, Incorporated

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Galen Foster (Foster), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 $111,005.61 on July 20, 2021.

Customer alleges registered representative never mentioned that investment was a junk bond and failed to safeguard investment. 9/14/19 through 7/2/20

Broker Matthew Perry in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Perry (Perry), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Perry 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 $140,000.00 on October 13, 2021.

Claimant alleges fraudulent misrepresentation, negligent misrepresentation, breach of fiduciary duty, violation of RSMO Sections 409.5-509 and 409.5-501 (General Fraud), breach of the duty of suitability, unauthorized trading, and negligence. Timeframe June 2016 through March 2019.

Broker Jeffrey Krogh in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Krogh (Krogh), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Krogh 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 $50,000.00 on October 14, 2021.

Successor trustee alleges that registered representative recommended an inappropriate investment strategy to the prior trustee. Timeframe: June 28, 2017 – December 4, 2017.