Articles Tagged with Stifel

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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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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 Blake Furgerson (Furgerson), previously 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 January 22, 2026.

Customers allege registered representative failed to disclose the essential terms relating to an investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Killeen (Killeen), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Killeen 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 $500,000.00 on January 27, 2026.

Claimants allege breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act, and Rule 10B-5 of the Securities and Exchange Commission, and violation of the California Corporations Code.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Drueke (Drueke), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Drueke 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 $136,328.15 on January 27, 2026.

Customer alleges registered representative recommended an unsuitable investment.

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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 settled customer complaint on September 04, 2020.

Claimant alleges breach of fiduciary duty, misrepresentation and non-disclosure, negligence and gross negligence, and violation of Louisiana Securities Laws.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hayes Clark (Clark), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $7,830.00 on October 20, 2020.

Client alleges registered representative traded excessively without the client’s knowledge or consent. Timeframe 3/17/18 through 9/15/20.

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