Articles Tagged with Stifel

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Barry (Barry), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Barry 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 April 24, 2026.

Claimant alleges Violation of Regulation Best Interest, Violation of FINRA Rules 2010, 2111, and 3110, Negligence, Negligent Misrepresentations and Omissions of Material Risks, Common Law Fraud and Fraudulent Inducement, Breach of Fiduciary Duty, Violation of New York General Business Law, and Gross Negligence

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

FINRA BrokerCheck shows a pending customer complaint on January 14, 2026.

Customer alleged registered representative made an unsuitable investment recommendation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Stevens (Stevens), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 March 02, 2026.

Customer alleges registered representative recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Holland (Holland), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Holland 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 $200,000.00 on November 27, 2020.

Claimant alleges negligence and breach of fiduciary duty

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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 March 12, 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker N. Hoover (Hoover), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hoover 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 $976,763.00 on April 15, 2026.

Customer alleges registered representative did not conduct due diligence to advise customer as to the suitability of a life insurance policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Booth (Booth), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Booth 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 $9,006.05 on April 16, 2020.

Client’s authorized agent alleges a trade was made without contacting the client or client’s authorized agent. Timeframe 3/24/20 – 3/24/20

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rogers (Rogers), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rogers 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 May 22, 2020.

Time frame: Unspecified    \<char_lb_r>\, Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Ezekiel (Ezekiel), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ezekiel 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 $100,000.00 on July 31, 2020.

Error made is 1035 exchanges for estate consolidation resulting in additional taxes of $6,704.75. Client declined offer and now is charging unsuitability, fraud and negligence

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2026.

Customer alleges registered representative failed to fully disclose benefit details for a variable annuity

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