Stifel

There are Recent Customer Complaints with Broker John Rogers in Firm Stifel, Nicolaus & Company, Incorporated

August 7, 2026 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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.

There are Recent Customer Complaints with Broker Samuel Fahsholtz in Firm Stifel, Nicolaus & Company, Incorporated

July 23, 2026 | by Staff Attorney

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

Broker Susan Ezekiel in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

July 5, 2026 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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

There are Recent Customer Complaints with Broker Brian Booth in Firm Stifel, Nicolaus & Company, Incorporated

July 3, 2026 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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

There are Recent Customer Complaints with Broker Malcolm Bourne in Firm Stifel, Nicolaus & Company, Incorporated

June 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Malcolm Bourne (Bourne), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Bourne 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 May 18, 2026.

Claimants allege breach of fiduciary duty, negligence, false representations, violations of Florida Securities and Investor Protection Act, violations of Florida\\u2019s Elder Abuse Statute and FINRA Rule 2165, intentional infliction of emotional distress, and violation of Florida\\u2019s fraud and deceptive practices statute.

Broker Michael Barry in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

June 14, 2026 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Patty Dawson in Firm Stifel, Nicolaus & Company, Incorporated

June 7, 2026 | by Staff Attorney

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.

Broker Martin Stevens in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

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.

Broker Robert Holland in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

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

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

May 18, 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 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.