Stifel

Broker Chuck Roberts in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

January 2, 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 $1,000,000.00 on December 15, 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.

There are Recent Customer Complaints with Broker Patricia Stark in Firm Stifel, Nicolaus & Company, Incorporated

December 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Stark (Stark), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Stark 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 $500,000.00 on December 15, 2021.

Claimant allege breach of contract, violations of State Securities Statutes and claims under common law.

Broker Edmund Swain in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

December 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edmund Swain (Swain), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Swain 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 $500,000.00 on December 15, 2021.

Claimant allege breach of contract, violations of State Securities Statutes and claims under common law.

Broker William Mielke in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

December 25, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Mielke (Mielke), currently associated with Stifel, Nicolaus & Company, Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mielke concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on January 27, 2022.

Customer alleges unauthorized trading and churning. Timeframe 2014 – 2021.

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

December 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 22, 2025.

The clients allege that the registered representative did not act in their best interest related to the change from a fee-based account to a commission-based account from March 2020 to August 2025.

Broker Chuck Roberts in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

December 20, 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 one disclosable event. These events include one customer complaint, 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 October 20, 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.

There are Recent Customer Complaints with Broker William Mielke in Firm Stifel, Nicolaus & Company, Incorporated

December 10, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Mielke (Mielke), currently associated with Stifel, Nicolaus & Company, Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mielke concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on January 27, 2022.

Customer alleges unauthorized trading and churning. Timeframe 2014 – 2021.

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.